Soreide Law Group is actively investigating potential claims on behalf of investors who sustained financial losses associated with Robert Charles Starnes (CRD: 1429794, Wauwatosa, Wisconsin). Notably, he worked for SA Stone Wealth Management Inc. in Wauwatosa, Wisconsin, from December 6, 2019, to May 16, 2023, and Quest Capital Strategies, Inc. in Laguna Hills, California, from […]

Soreide Law Group is investigating possible investor claims against securities broker Keith Craig Baron [CRD: 3231494, Jericho, New York]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Equity Services Inc. Evidently, investors allege sales practice violations in these disputes related to misappropriation. […]

On April 12, 2022, John Winslow (JOHN SCOTT WINSLOW, CRD#: 3071933), formerly with Edward Jones of Gig Harbor, Washington, was barred by the Financial Industry Regulatory Authority (FINRA) from acting as a broker or otherwise associating with a broker/dealer firm. Winslow was previously registered both as a broker and as an investment advisor. According to […]

Broker Sumitro Pal Purportedly Made Bad Trades In Morgan Stanley Customers' Accounts Soreide Law Group is evaluating possible investor disputes against securities broker Sumitro Pal (CRD#: 4763364, Bethesda, Maryland). Specifically, FINRA – the financial industry watchdog – indicates that 10 or more investors complained about Pal. Notably, the majority of clients brought disputes from 2017 […]

Securities Broker Rand Heckler Targeted By SEC, FINRA Soreide Law Group provides you with this Investor Alert in regard to former Benjamin Jerold Brokerage I LLC securities broker Rand Alan Heckler (CRD#: 2689235, Glen Cove, New York). Notably, on September 30, 2020, SEC charged Heckler with violating securities laws. Not only that, but FINRA barred […]

Broker Craig Zabala Misappropriated Assets, SEC Complaint Indicates Soreide Law Group is reviewing potential investor claims against securities broker Craig Anthony Zabala (CRD#: 2740680, Harlem New York). Notably, the Securities and Exchange Commission (“SEC”) brought a lawsuit against Zabala in which it makes troubling allegations including misappropriation. Not only that, but Financial Industry Regulatory Authority […]

Securities America Client Brings Lawsuit Over Jaime Westenbarger's Purported Negligence Investor Alert! Clients of securities broker Jaime Michael Westenbarger (CRD#: 4625703, Grand Rapids, Michigan) have sued because of Westenbarger’s sales practices. Notably, Financial Industry Regulatory Authority (FINRA) shows that a whopping 8 investors brought disputes about the securities broker, who worked for firms including First […]

Barred Broker Mike Carter Involved In Investors' Misappropriation Disputes Soreide Law Group is reviewing possible investor claims against Michael “Mike” Barry Carter (CRD#: 3232017, McLean, Virginia). Evidently, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck indicates that four investors brought disputes about the financial advisor, who worked for Morgan Stanley from 2011 to 2019. Notably, these disputes […]

Clients Take Aim At SA Stone Broker Chris Wendel For Unreasonable Investment Transactions The Financial Industry Regulatory Authority (“FINRA”) discloses troubling information in regard to Christopher “Chris” Todd Wendel (CRD#: 1930870, Celina, Ohio). Notably, eight or more investors contested the sales practices of the securities broker, who last associated with SA Stone Wealth Management until […]