Voya Financial Advisors Clients Allege Failure To Supervise In Disputes About Securities Broker Ronnie Metcalf The Financial Industry Regulatory Authority (FINRA) reports important information relating to securities broker Ronald Franklin Metcalf Jr. (“Ronnie Metcalf”) (CRD#: 1280602, Greenville, South Carolina). Evidently, until June 2021, Metcalf worked for Voya Financial Advisors as a securities broker and financial […]

ATTENTION INVESTORS! Claims Against UBS Financial Services Broker ANGEL CANABAL UBS Financial Services broker and supervisor Angel Manuel Canabal Sr. (CRD#: 2180310, Mayaguez, Puerto Rico), who has been registered with the firm since February 2, 1998, reported through Financial Industry Regulatory Authority (“FINRA”) BrokerCheck that at least 84 of his customers at UBS Financial Services […]

Soreide Law Group Investigating IMS Securities For Unsuitability Soreide Law Group is investigating claims on behalf of investors who purchased investments from IMS Securities, Inc. (CRD#: 35567, Houston, Texas) – a brokerage firm that has been expelled by the Financial Industry Regulatory Authority (“FINRA”) for failing to pay a fine. FINRA fined the firm pursuant […]

Soreide Law Group obtained the following information from the January, 2018 FINRA Disciplinary Report: Bruce A. Lefavi Securities, Inc. (CRD #10684, Salt Lake City, Utah)  was censured and fined $25,000 for allegedly preparing four retail communications and distributing them to numerous clients containing content that pertained to Real Estate Investment Trusts (REITs) and/or Business Development […]