SII Investments Clients Allege Unsuitable Transactions By Financial Advisor Robert Fross Soreide Law Group comes to you with important information concerning securities broker Robert C. Fross (CRD#: 4509851, The Villages, Florida). Namely, the securities broker and financial advisor, who worked for SII Investments Inc. (2007 to 2018) and LPL Financial (2018 to present), is involved […]

Woodbury Financial Clients Allege Sales Practice Violations By Broker Peter David The Financial Industry Regulatory Authority (FINRA) BrokerCheck contains important information regarding securities broker Peter Werner David (CRD#: 1133608, Waukesha, Wisconsin). Namely, David, who worked for Woodbury Financial Services from February 2009 to July 2018, is involved in two client disputes. Notably, investors allege sales […]

FINRA Sanctions McNally Financial For Failing To Supervise NT-ETPs, Options Trading FINRA sanctioned McNally Financial Services Corporation (CRD#: 121196, San Antonio, Texas). Notably, the firm violated FINRA rules relating to supervision of non-traditional exchange traded products (NT-ETPs) and options trades. Soreide Law Group provides you with some of the key details about FINRA’s disciplinary action […]

GWG Is a TOTAL Loss, Call Us To Begin Your Recovery! Soreide Law Group is investigating prospective investor lawsuits against financial advisors that recommended GWG Holdings Inc. L Bonds to investors. Notably, GWG Holdings failed to make required principal and interest payments to investors last month. Here’s more about GWG Holdings L Bonds, including how […]

ProShares Bitcoin ETF (BITO) Soreide Law Group comes to you with new information regarding ProShares Bitcoin Strategy ETF. With cryptocurrency becoming an increasingly popular avenue for investors, it may be no surprise that ProShares Bitcoin Strategy ETF is getting quite a buzz. Here’s a breakdown of how this investment works and some of the main […]

Client Of United Planners Financial Services Takes Issue With Broker Pat Vitucci's Variable Annuity Sales The Financial Industry Regulatory Authority (FINRA) contains new disclosures concerning securities broker Pasquale “Pat” Vitucci (CRD#: 2290163, Walnut Creek, California). It appears that 21 investors filed disputes alleging sales practice violations by the securities broker. FINRA BrokerCheck shows that Vitucci […]

Investor At MML Alleges Sales Practice Violation By Broker Curt Giacobbe Soreide Law Group provides you with new information concerning securities broker Curt Giacobbe (CRD#: 2682776, Melville, New York). Notably, Financial Industry Regulatory Authority BrokerCheck shows that investors filed disputes about the securities broker, who worked for securities firm MML Investors Services from 2012 to […]

Independent Financial Group Clients Allege Unsuitable Transactions, Breach Of Fiduciary Duty By Broker Aubrey Morrow Soreide Law Group is reviewing potential investor disputes regarding securities broker William Aubrey Morrow (CRD#: 836500, San Diego, California). According to FINRA BrokerCheck, Morrow worked as an Independent Financial Group securities broker from 2004 to 2018 and as an Independent […]

Cetera Investment Services Client Alleges Sales Practice Violation By Broker John Broughton The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker John Charles Broughton (CRD#: 2362478, Gross Pointe Woods, Michigan). Specifically, four investors filed disputes about Broughton. One of those investors filed a claim in July 2020 concerning Broughton’s actions at Cetera […]