Clients Of SunTrust File Disputes Alleging Unsuitable Recommendations By Sandra McKoy Financial Industry Regulatory Authority (FINRA) indicates that SunTrust investors have taken issue with the sales practices of Sandra Benain McKoy (CRD#: 2954755, Tamarac, Florida). It appears that McKoy worked as a financial advisor or securities broker for SunTrust Investment Services (1997 to 2017), SunTrust […]

National Securities Corp Clients Allege Unsuitable Transactions By Securities Broker Shaun Stein According to FINRA BrokerCheck, investors challenged the sales practices of securities broker Shaun Evan Stein (CRD#: 4873578, Jersey City, New Jersey). Evidently, Stein worked for JP Turner Company LLC and National Securities Corporation. The investment disputes reported on BrokerCheck concern his actions at […]

Barrett Company Clients Take Issue With Securities Broker Chad White The Financial Industry Regulatory Authority (“FINRA”) indicates through BrokerCheck that investors challenged the sales practices of Barrett Company securities broker Charles Edward White II “Chad White” (CRD#: 1345688, Providence, Rhode Island). Namely, seven investors disputed White’s actions. Allegations include unsuitability and misrepresentation. And Massachusetts Securities […]

Cantella, Voya and LPL Clients File Investor Disputes About Broker Jim Joly Investment loss recovery counsel at Soreide Law Group is looking into possible investor claims concerning James Ernest Joly (CRD#: 2193463, East Greenwich, Rhode Island). Evidently, the Financial Industry Regulatory Authority (“FINRA”) shows through BrokerCheck that the securities broker, who has worked at Cantella […]

Broker Jim Schwartz Allegedly Made Unauthorized, Unsuitable Transactions Causing Losses To Clients Soreide Law Group is reviewing potential investor claims against Joseph Gunnar broker James “Jim” Bradley Schwartz (CRD#: 3043085, New York, New York). Apparently, FINRA BrokerCheck reports that the securities broker, who worked for Joseph Gunnar (2016-2017), First Standard Financial Company (2016) and Aegis […]

FSC Broker Lee Kramer Identified In Investor's Suitability Dispute Soreide Law Group is reviewing potential investor claims against FSC Securities Corporation broker Lee R. Kramer (CRD#: 1465416, Frederick, Maryland). Notably, FINRA BrokerCheck reports that the securities broker, who joined FSC Securities Corporation in March 2005, was recently accused of giving bad advice to an investor. […]

UBS Broker Cary Moskowitz Allegedly Caused Investor's Losses Soreide Law Group is looking into potential investor disputes against securities broker Cary Moskowitz [CRD#: 1287997, New York, New York]. Notably, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that 3 or more clients were allegedly wronged by the securities broker, who joined UBS in 2008. Supposedly, clients […]

Clients Indicate Kalos Capital Broker Eric Weschke Sold Bad BDCs and GPB Funds Soreide Law Group is looking into potential investor disputes against securities broker Eric Weschke [CRD#: 2486324, Setauket, New York]. Supposedly, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that at least 14 clients took issue with the securities broker, who joined Kalos Capital […]

Geneos Wealth Management's Michael Osland Allegedly Gave Bad Advice Soreide Law Group is evaluating possible investor claims against Geneos Wealth Management securities broker Michael Osland (CRD#: 1791642, Scottsdale, Arizona). Namely, the Financial Industry Regulatory Authority (“FINRA”) BrokerCheck report for Osland shows that three clients filed disputes against him. Read on to learn more about what […]