Investors have come forward with complaints about securities broker Shirley Wong AKA Shirley Ank Wong [CRD#: 4869184, Daly City, CA]. Evidently, the securities broker, who worked for Ni Advisors, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Ni Advisors clients allege that Wong made misrepresentations, breached a contract, failed to supervise, and […]

Soreide Law Group is investigating possible investor claims against securities broker John Ulwick AKA  John Kennedy Ulwick [CRD#: 1758865, Waltham, MA]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Lincoln Financial Advisors Corporation. Notably, investors allege sales practice violations in these disputes, […]

Investors have come forward with complaints about securities broker Sean Sullivan AKA Sean T. Sullivan [CRD#: 6283466, Melville, NY]. Evidently, the securities broker, who worked for Aegis Capital Corp., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Aegis Capital Corp. clients allege that Sullivan made unauthorized transactions. For more on these disclosures […]

Soreide Law Group is investigating possible investor claims against securities broker Patrick Murray AKA Patrick Reid Murray [CRD#: 2007449, Sandusky, OH]. Evidently, FINRA sanctioned the securities broker, who worked for UBS Financial Services. Allegedly, Murray engaged in an undisclosed outside business activity. Here is a brief summary FINRA’s allegations against Murray. FINRA Sanctions UBS Financial […]

Soreide Law Group is investigating possible investor claims against securities broker Ron Keith Phillips [CRD#: 2823393, Walnut Creek, CA]. Phillips has worked for Morgan Stanley since 2009 and UBS Financial Services Inc. from 2002 to 2008. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that Morgan Stanley and UBS Financial Services investors disputed the sales […]

Investors have come forward with complaints about securities broker Joseph Ijong Chu [CRD#: 4546805, Stamford, CT]. Chu has been employed by (1) RBC Capital Markets LLC from 2018-Present as a broker and as an investment advisor. He was associated with Merrill Lynch from 2002-2018. Evidently, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses RBC Capital Markets […]

Soreide Law Group is investigating possible investor claims against securities broker Thomas Paul Tibaldi [CRD#: 2672406, East Meadow, NY]. Tibaldi worked for (1) Citigroup Global Markets from 2007-Present; (2) Citicorp Investment Services from 2004-2007; and (3) Citicorp Investment Services from 2003-2007. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that one or more Citigroup Global […]

Soreide Law Group is investigating possible investor claims against securities broker Bryon Edwin Martinsen [CRD#: 1621649, Kings Park, NY]. Martinsen worked for (1) Centaurus Financial Inc. from 1999-2022; and (2) AXA Advisors LLC from 1987-1999. Notably, Financial Industry Regulatory Authority (FINRA) BrokerCheck sanctioned Martinsen for allegedly selling away. Also, Centaurus Financial investors disputed the sales […]

Soreide Law Group is investigating possible investor claims against securities broker Alexander Strachan Hackley Jr. AKA Lex Hackley [CRD #: 4899317, Centennial, CO]. Hackley worked for (1) Lifemark Securities Corp from 2017-present; (2) Blue Duck Wealth Management from 2017-2018; and (3) Verus Capital Partners LLC from 2015-2017; and (4) Woodbury Financial Services from 2005 to […]