Broker Bryan Bordelon (Raymond James, Morgan Keegan) Facing Investor Disputes FINRA BrokerCheck indicates that investors alleged inappropriate sales practices involving securities broker Bryan Kirk Bordelon (CRD#: 3175386, New Orleans, Louisiana). It appears that the disclosures involving Bordelon concern his employment at Raymond James Associates Inc. (he has been a securities broker and financial advisor since […]

Multiple UBS Clients File Investment Disputes About Broker Neil Klein FINRA BrokerCheck indicates that investors alleged sales practice violations involving securities broker Neil Kevin Klein (CRD#: 1681779, White Plains, New York) and that those violations resulted in damages. Notably, Klein was a securities broker and financial advisor at UBS Financial Services (his employer since 2006) […]

Investor Brings Dispute About Securities Broker Hal Schwartz's Investment Strategy The Financial Industry Regulatory Authority (FINRA) contains important investor-related information concerning securities broker Harold Alan “Hal” Schwartz (CRD#: 841225, Winter Springs, Florida). Namely, the securities broker is involved in three investor disputes. Clients allege sales practice violations at Leaders Group or Royal Alliance. It also […]

CUNA Brokerage Services Clients File Disputes About Broker Steve Sylvester Concerning Suitability Soreide Law Group brings you up to speed concerning the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck as it relates to securities broker Stephen Sylvester ("Steve Sylvester") (CRD#: 1950435, Groton, Connecticut). Namely, four investors challenged his sales practices at CUNA Brokerage Services. […]

Melinda Abood (UBS Financial Services) Targeted In Investor Disputes The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Melinda Joyce Abood (CRD#: 867463, New York, New York). Namely, the securities broker and financial advisor, who joined UBS Financial Services in April 1986, is involved in five investor disputes. Here’s more […]

Berthel Fisher Clients Indicate That Broker Farrukh Kazmi Sold Bad Alternative Investments The investment loss recovery team at Soreide Law Group provides you with this Investor Alert regarding Farrukh Shazad Kazmi (CRD#: 2855915, Moorestown, New Jersey). Evidently, this securities broker joined Berthel Fisher & Company (“Berthel Fisher”) in January 2010. Notably, FINRA BrokerCheck shows that […]

LPL Clients Take Aim At Broker Kevin Houser For Alternative Investment Sales Soreide Law Group is contemplating potential FINRA Arbitration Claims or lawsuits on behalf of investors who lost money because of Kevin Douglas Houser (CRD#:  2513167, Center Valley, Pennsylvania). FINRA BrokerCheck shows that Houser worked for a number of well-known securities firms including LPL […]

Broker Ronald Birnbaum Involved In Investor Disputes The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of misconduct by securities broker Ronald Birnbaum (CRD#: 2382580, Newton, Massachusetts). Evidently, Birnbaum works for Advisory Group Equity Services Ltd. as a stockbroker and Trust Advisory Group Ltd. as a financial advisor. Notably, he is involved in six investor […]

Morgan Stanley Broker Ian Deliz Possibly Gave Unreasonable Advice To Clients Regarding Investments The Financial Industry Regulatory Authority (“FINRA”) reports alarming allegations of misconduct by securities broker Ian M. Deliz Morales (CRD#: 4697350, Tampa, Florida). Namely, an astounding 28 clients have filed lawsuits or complaints about the securities broker, who worked for Morgan Stanley in […]