Soreide Law Group is currently conducting an investigation into potential claims on behalf of investors who may have suffered losses due to the actions of securities broker and financial advisor, Gregory Miller (also known as Greg Miller) [CRD#: 5390510, Murray, Utah]. Notably, Gregory Miller faced investor suitability and unauthorized trading complaints concerning his activities at […]

Soreide Law Group is investigating possible investor claims against Helen Grace Caldwell (also known as Helen Grace Corpuz) (CRD: 1957501, Chicago, Illinois). Notably, FINRA sanctioned the securities broker, who worked for Citigroup Global Markets Inc. Allegedly, Caldwell failed to testify when FINRA carried out an investigation. Here is a brief summary of FINRA’s allegations against […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Brian Radoo [CRD#: 2558458, North Woodmere, NY], who worked for Next Financial Group. Additionally, the securities broker discloses a regulatory enforcement action. However, Radoo denies the allegations of sales practice violations. Read on to learn more about the allegations against Radoo. Next Financial […]

Securities Broker Jason Poff Sanctioned By FINRA, Accused Of Sales Practice Violations By LPL And Chase Clients Financial Industry Regulatory Authority (FINRA) BrokerCheck, which houses important information about securities brokers, contains new disclosures regarding securities broker Jason Howell Poff (CRD#: 4078570, Houston, Texas). Specifically, FINRA issued Poff a fine and suspension for alleging engaging in […]

FINRA Bars Securities Broker Brian Radoo, And Investors File Disputes About Him The Financial Industry Regulatory Authority (FINRA) contains important regulatory sanctions and client disputes involving securities broker Brian Radoo (CRD#: 2558458, Tucson, Arizona). It appears on BrokerCheck that FINRA barred Radoo as a securities broker in December 2020. Six investors filed disputes alleging sales […]

BBVA, Chase Clients File Disputes About Securities Broker Brian Bates The Financial Industry Regulatory Authority (“FINRA”) reports that investors filed disputes about Brian Robert Bates (CRD#: 2318413, Chandler, Arizona). Evidently, Bates presently works for BBVA Securities as securities broker, and he works for PNC Managed Account Solutions as financial advisor. Let’s take a closer look […]

RICHARD W. OHRN (CRD# 5106991) Boca Raton was barred by FINRA over a complaint filed against Ohrn for the theft of $15,250 from two elderly clients’ accounts. Ohrn neither admitted to or denied FINRA's findings. Allegedly Ohrn also forged the signatures of four firm clients according to FINRA and changed the addresses of these clients […]

Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, July, 2013.” Tiara Monique Jones (CRD #5366042, Registered Representative, Dolton, Illinois) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Jones misappropriated funds […]

 In a November 15th., 2011, Bloomberg Businessweek article they write that a unit of JPMorgan Chase & Co. was ordered to reimburse investment customers more than $1.9 million and was fined $1.7 million over how it sold unit investment trusts and floating-rate loan funds. FINRA, the Financial Industry Regulatory Authority announced the settlement on Tuesday after […]