Broker Dustin Blount Barred By FINRA And Involved In An MML Investor's Dispute Soreide Law Group has important information to share with you regarding securities broker Dustin Michael Blount (CRD#: 5267680, Vicksburg, Mississippi). Specifically, it appears on BrokerCheck that in addition to him being discharged for alleged misconduct, the broker is the subject of criminal […]

FINRA Bars Broker Dan Jossen, And Investors File Disputes About His Life Insurance, Annuity Sales The Financial Industry Regulatory Authority (FINRA) declared on June 25, 2021 that it has barred securities broker Daniel “Dan” E. Jossen (CRD#: 5463761, Bethesda, Maryland) – the NYLife Securities broker – over allegations of Jossen’s sales practice violations. Not only […]

Broker Jeffrey Weiner's Sales Practices Questioned By MSI Clients Investor alert! Soreide Law Group provides you this update on investor disputes brought against securities broker Jeffrey Paul Weiner (CRD#: 2476604, New York, New York). Evidently, Weiner maintained an association with MSI Financial Services through 2017. He also worked for firms including MML Investors Services (2017 […]

SII Clients Indicate Broker Joel Weber Misrepresented Annuity Income Riders Soreide Law Group is investigating potential investor claims of misrepresentation against securities broker Joel Howard Weber [CRD#: 1717681, Sartell, Minnesota]. Evidently, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck reports that five clients complained about the broker, who associated with SII Investments from 2002 to 2017 and […]

FINRA Suspends Raymond James Broker Michael Hurtgen For Selling Away Investor Alert! Evidently, the Financial Industry Regulatory Authority (“FINRA”) and Wisconsin Office of Commissioner of Insurance have sanctioned securities broker Michael Hurtgen (CRD#: 1742647, Greenwood Village, Colorado). Allegedly, the broker, who worked for Raymond James from 2009 to 2016, engaged in unauthorized private placement activities. […]

MARK SACHSE Barred By FINRA The Financial Industry Regulatory Authority (“FINRA”) barred Ameriprise Financial Services Inc. broker Mark Sachse (CRD#: 5155260, Overland Park, Kansas) for not complying with a FINRA probe. Notably, the FINRA BrokerCheck Report for Sachse shows that FINRA made a “request for information” which Sachse failed to answer. Supposedly, FINRA inquired into […]

Dale Edward Para (CRD #1028917, North Oxford, Massachusetts) was barred by FINRA for allegedly intentionally providing false trading and account information to a client and the client’s father, who had power of attorney over the client’s account. FINRA's findings stated that Para misrepresented to the client and his father that he had executed hundreds of […]

Jesse C. Litvak, a bond trader for Jefferies & Company, Inc., New York, has been accused of deceiving clients in order to maximize his profits. The Court documents filed on Jan. 25, 2013 listed the charges against Jesse Litvak as securities fraud by deceiving buyers, major fraud against the United States and false statements to […]

The Securities and Exchange Commission (SEC), filed an application with the United States District Court for the Northern District of Georgia on June 12, 2013, for an order to enforce investigative subpoenas that were served on Bridge Securities, LLC, Bridge Equity, LLC, Bridge Equity, Inc. and FOGFuels, Inc. of Atlanta, Georgia. All respondents are under […]