Broker William Herf Possibly Gave Bad Advice, Failed To Follow Instructions The investment loss recovery attorneys at Soreide Law Group provide you an update regarding troubled securities broker William Reilley Herf (CRD#: 2978220, Scottsdale, Arizona). Apparently, no less than three of Herf’s clients complained about his sales practices according to the broker’s Financial Industry Regulatory […]

Garden State Broker Ronald Richer Barred By FINRA Soreide Law Group is determining whether to bring lawsuits on behalf of investors against securities broker Ronald Richer (CRD#: 2988381, New York, New York). Namely, the Financial Industry Regulatory Authority (“FINRA”) indicates through BrokerCheck that Richer has nine disclosures on his record. These disclosures not only concern […]

Broker David Weisberg Purportedly Churns, Excessively Trades In Worden Capital Client Accounts Soreide Law Group is reviewing whether to bring lawsuits on behalf of investors against securities broker David Weisberg (CRD#: 5610111, New York, New York). Not only has Financial Industry Regulatory Authority (“FINRA”) sanctioned the securities broker for “excessive and unsuitable” trading, but at […]

Broker James Kearney Purportedly Makes Unauthorized And Unreasonable Trades The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of misconduct by James Joseph Kearney (CRD#: 265734, Houston, Texas). Namely, Kearney violated FINRA rules on trading and faced the financial watchdog’s suspension and fine as a result. Not only that, but four investors filed disputes about […]

Spencer Winston Clients Indicate Ezri Shechter Made Unsuitable, Unauthorized Trades Soreide Law Group is investigating possible claims against Ezri Shechter (CRD#: 2772177, Jersey City, New Jersey). Namely, the securities broker, who worked for Spencer Winston from 2004 to 2020, reports investor disputes about his sales practices. Not only that, but Financial Industry Regulatory Authority (“FINRA”) […]

Laidlaw Broker Bryan Mazliach Allegedly Made Excessive, Unsuitable Trades There is growing suspicion among investors of bad securities recommendations or sales on the part of securities broker Bryan Gabriel Mazliach (CRD#: 5518438, Fort Lauderdale, Florida). Notably, Financial Industry Regulatory Authority (“FINRA”) shows that three investors brought disputes about the securities broker, who worked for Laidlaw […]

Stifel Nicolaus Clients Take Aim At Andrew Elsoffer For Possibly Breaching Fiduciary Duty Soreide Law Group is investigating potential investor claims of breach of fiduciary among other sales practice violations by securities broker Andrew Elsoffer (CRD#: 2580009, Pepper Pike, Ohio). Namely, at least 8 investors filed disputes about the broker, who worked for Stifel Nicolaus […]

Broker Mark Hopkins Possibly Sold Bad Investments Soreide Law Group is investigating potential investor claims of sales practice violations by securities broker Mark Lewton Hopkins (CRD#: 2653473, Grand Blanc, Michigan). Notably, Michigan issued Hopkins a $2,500 fine for his concealment of facts when recommending securities to one or more investors. Not only that, but FINRA […]

Barred Broker Joseph Thurnherr Possibly Breached Fiduciary Duty Soreide Law Group is reviewing possible investor claims of sales practice violations by Joseph Thurnherr (CRD#: 5045624, Red Bank, New Jersey). Notably, FINRA barred Thurnherr for refusing to supply information while under investigation for client complaints. Not only that, but 7 of Thurnherr’s investor clients filed disputes […]