Investors might have sustained losses because of securities broker Mitchell Steven Morrison (also known as Mitch Morrison) [CRD: 728484, Newport Beach, California], according to disclosures on FINRA BrokerCheck. Evidently, Morrison worked for Westpark Capital Inc. from August 31, 2020, to July 1, 2022, and from August 14, 2017, to February 20, 2019. He also worked […]

FINRA, NJ Securities Bureau Sanction Raymond James Broker Lance Armstrong The New Jersey Bureau of Securities revoked the securities agent and investment adviser registrations of Lance Roman Armstrong (CRD#: 4592423, Columbia, New Jersey), a former Raymond James Financial Services securities broker. The NJ order comes on the heels of Financial Industry Regulatory Authority’s decision to […]

Tavenner Company Broker Dean Mings Allegedly Sold Bad Annuities Soreide Law Group is investigating possible investor claims about investment losses attributable to the securities business of broker Dean Mings [CRD#: 1197212, Springfield, Ohio]. Supposedly, the broker, who worked for Tavenner Company between 2002 and 2018, reports that the company disaffiliated with him for an outside […]

Allegations Of Misconduct Raised Against LPL Financial LLC Brokers Brian Griffith, Kevin Sofoul, Virginia Nichols LPL Financial LLC (CRD#: 6413, Boston, Massachusetts) is a FINRA-regulated brokerage firm and SEC-regulated investment adviser firm. Mainly, LPL Financial LLC reports through FINRA BrokerCheck that regulators have taken disciplinary action against it 153 times. Also, arbitrators in approximately 54 […]

AATTENTION: Soreide Law Group Investigating MetLife Brokers Michael Miley, Chong Kim, Chris Maltese Soreide Law Group is investigating possible claims on behalf of customers who invested with brokers of MSI Financial Services Inc. (FINRA CRD#: 14251), also known as MetLife Securities, Inc. Specifically, the firm is reviewing possible claims of misconduct against MetLife brokers Michael […]

HSBC Securities Terminates Robert Fortune, Matthew Riez, Anita Bali HSBC Securities (USA) Inc. is a brokerage firm (CRD#: 1985) regulated by Financial Industry Regulatory Authority (“FINRA”) and investment adviser firm (SEC#: 801-64563,8-41562) regulated by Securities and Exchange Commission (“SEC”). Apparently, on FINRA BrokerCheck, the firm has been in sixty regulatory events and seven arbitrations pertaining […]

Moloney Securities’ David Todd Phillips Terminated For Outside Business Activities Moloney Securities’ David Todd Phillips Terminated For Outside Business Activities   David Todd Phillips (CRD#: 3094195, Gilbert, Arizona), is a prior securities broker for Moloney Securities Co., Inc. According to Financial Industry Regulatory Authority (“FINRA”) BrokerCheck, there are two disclosures about his alleged misconduct. Particularly, […]

The following information was obtained on FINRA’s website’s ‘Disciplinary Actions, February 2012.”   Paul Cragg Larsen (CRD #1066833, Registered Representative, Naples, Florida) and   Quentin Marius Silic (CRD #4222363, Registered Representative, Naples, Florida)   submitted a Letter of Acceptance, Waiver and Consent in which they were each barred from association with any FINRA member in […]