Oppenheimer Securities Broker Dennis Ayre Barred By FINRA And Involved In Investor Disputes About Foresight Energy LP Stock Transactions Soreide Law Group is reviewing potential investor lawsuits against securities broker Dennis Phillip Ayre (CRD#: 5365176, Beverly Hills, California). Evidently, Ayre, who worked for broker-dealers including Hilltop Securities (2019 to 2020), Oppenheimer Co. Inc. (2014 to […]

Securities Broker Paul Antevy Involved In FMSbonds Client Disputes The Financial Industry Regulatory Authority (FINRA) contains new information concerning securities broker Paul Itzchak Antevy (CRD#: 2713105, North Miami Beach, Florida). It appears that Antevy joined FMSbonds Inc. in March 2003, and two clients of FMSbonds disputed Antevy’s sales practices. In addition, Antevy is involved in […]

Aegis Capital Clients Allege Sales Practice Violations By Dennis Herrera The Financial Industry Regulatory Authority (FINRA) contains important information concerning securities broker Dennis Daniel Herrera (CRD#: 4618370, Miami, Florida). BrokerCheck shows that Herrera has worked as an Aegis Capital Corp. securities broker since March 2016. He also worked for firms including Blackbook Capital and Hunter […]

BBVA's Lori Welborn Facing Disputes From BBVA Clients About Variable Annuity Sales The Financial Industry Regulatory Authority (FINRA) contains important information concerning the disputes involving securities broker Lori Ann Welborn (AKA Lori O’Bier and Lori Boland) (CRD#: 2344775, Richardson, Texas). It appears on BrokerCheck that six investors disputed Welborn’s sales practices, with one or more […]

Client Of Broker Nick Polydoros (UBS) Alleges Unsuitability Soreide Law Group provides you with new information concerning financial advisor representative Nick James Polydoros (CRD#: 1109056, Scottsdale, Arizona). Evidently, Polydoros joined securities firm UBS Financial Services beginning in December 2011. He became a financial advisor representative at UBS Financial Services in April 2013. Before then, he […]

Cetera Advisor Networks Discharges Kirk Knollman Over Discretionary Trading Allegations The Financial Industry Regulatory Authority (FINRA) contains important disclosures concerning securities broker Kirk William Knollman (CRD#: 2089445, Loveland, Ohio). Notably, Cetera Advisor Networks LLC discharged him as a securities broker. Also, two investor disputes allege unsuitable trading. One concerns Knollman’s actions at Cetera, while the […]

FINRA Investigates Securities Broker Mel Coffey's Trading For Suitability The Soreide Law Group has important information to share with you in regard to securities broker Arthur Mel Coffey (“Mel Coffey”) (CRD#: 2553466, Miller Place, New York). Specifically, Coffey, who worked for securities firms Legend Securities, First Standard Financial Company, and SW Financial, is under investigation […]

Securities Broker Stephen Ferencik Referenced In Unsuitable Alternative Investment Allegations By Arkadios Capital, ACG Wealth, And UBS Clients Soreide Law Group is reviewing potential investor claims relating to securities broker and financial advisor, Stephen John Ferencik (“Stephen John Ferencilz”) (CRD#: 3126037, Atlanta, Georgia). Evidently, Ferencik worked for firms including ACG Wealth Inc. (August 2010 to […]

Berthel Fisher Clients Allege Unsuitability, Misrepresentation By Securities Broker Steve Cummings Soreide Law Group is reviewing potential investor claims to bring against Berthel Fisher Company Financial Services and securities broker Steve Jeffrey Cummings (CRD#: 2274017, Fort Deposit, Alabama). Evidently, four clients filed disputes about Cummings alleging sales practice violations on alternative investments. Read on to […]