Andrew Garret Clients Indicate John Conroy Was Negligent, Breached Fiduciary Duty Soreide Law Group is reviewing possible investor claims against securities broker John Conroy (CRD#: 3008995, New York, New York). Apparently, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that at least 6 clients raised serious concerns about the securities broker who worked for Andrew Garrett […]

Broker Dennis Mehringer Barred For Refusing To Testify About Investment Advice Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming allegations of improprieties by Western International Securities broker Dennis Albert Mehringer Jr. (CRD#: 722569, Pasadena, California). Notably, no less than 11 clients contested his sales practices. Not only that, but FINRA barred Mehringer for […]

Clients Suggest Kyusun Kim Gave Bad Advice Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) shows troubling information in regard to securities broker Kyusun Kim [CRD#: 2864085, San Diego, California]. Supposedly, at least 23 clients took issue with the securities broker, who worked for Independent Financial Group from 2006 to 2016 and then worked for […]

UBS Customers File Disputes About Dwight West Soreide Law Group is investigating potential investor claims of bad securities sales by broker Dwight West [CRD#: 463778, Lone Tree, Colorado]. Notably, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck reports that no less than 6 clients contested the securities recommendations or sales of the securities broker, who joined UBS […]

UBS Broker Juan Goytia Discloses 89 Investor Disputes Soreide Law Group is reviewing possible claims of sales practice violations by Juan Goytia (CRD#: 4473937, San Juan, Puerto Rico). Namely, the Financial Industry Regulatory Authority (“FINRA”) reports that the securities broker, who worked for UBS from February 14, 2002 to July 27, 2018, is entangled in […]

Clients Take Aim At Jeff Eiler For Suitability Investors are alleging investment losses because of the securities business of Jeff Eiler [CRD#: 1028716, Fort Lauderdale, Florida]. Supposedly, the securities broker, who joined Wells Fargo on February 17, 2006, discloses 12 investor disputes reported on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck. Notably, Wells Fargo clients indicate […]

Cetera Investors File Disputes About Broker John Massa Investors are alleging investment losses because of Cetera Investment Services securities broker John Massa [CRD#: 2120585, Staten Island, New York]. Supposedly, the securities broker, who joined Cetera on September 8, 2010, shows 5 investor disputes on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck. Notably, Cetera clients indicate that […]

Purshe Kaplan, FINRA Investigate Brian Bogart For Involvement In Private Fund Soreide Law Group is reviewing possible investor disputes against securities broker Brian Bogart (CRD#: 1186538, McLean, Virginia). Notably, Bogart’s Financial Industry Regulatory Authority (“FINRA”) BrokerCheck profile discloses two regulatory events, two bad employment breakups, and at least twelve client disputes. Here’s a brief summary […]

National Securities Corp Clients Indicate Thomas Kelly Made Unauthorized Trades Investor disputes are piling on for securities broker Thomas Kelly (CRD#: 2877415, New York, New York). Specifically, Financial industry Regulatory Authority (“FINRA”) shows that no less than 13 investors disputed Kelly’s sales practices. Notably, these investor disputes, which primarily come from clients of National Securities […]