CHARLES KENAHAN Churn Your Investments? Soreide Law Group is evaluating possible investor claims on behalf of investors who suffered losses because of Merrill Lynch securities broker Charles Kenahan (CRD#: 1351974, Boston, Massachusetts). Evidently, Merrill Lynch announced on July 9, 2019 that it disaffiliated with Kenahan. The brokerage firm alleged that Kenahan gave bad advice to […]

WILLIAM ROBERTSON Give You Bad Investment Recommendations? Soreide Law Group is evaluating possible claims on behalf of investors who suffered losses by investing with First Allied Securities Inc. broker William Robertson (CRD#: 823461, Deer Park, Texas). According to the Financial Industry Regulatory Authority (“FINRA”) BrokerCheck, at least five clients complained about Robertson’s sales practices. Here’s […]

DONALD FOWLER Liable For Securities Fraud The Securities and Exchange Commission (“SEC”) announced on June 20, 2019 that Donald Fowler (CRD#: 4989632, Syosset, New York) was found guilty of securities fraud. Notably, a jury returned a verdict in favor of SEC in Case #: 1:17-cv-00139. Here’s more on the SEC action against Fowler: SEC Charges […]

MICHAEL VETERE Losses? Investors are disputing the sales practices of TFS Securities Inc. general securities representative Michael Vetere (CRD#: 4275271, Bayside, New York), who registered through TFS Securities Inc. from April 28, 2016 to June 27, 2018. Notably, the Financial Industry Regulatory Authority (“FINRA”) shows on BrokerCheck that since February 12, 2018, at least three […]

GREGORY WASHINGTON Churn Your Account? Have you invested with Spartan Capital Securities LLC securities broker Gregory Washington (CRD#: 5420613, New York, New York)? Notably, the Financial Industry Regulatory Authority (“FINRA”) shows that an investor disputed Gregory Washington’s sales practices. Allegedly, person churned accounts, made unauthorized and unsuitable trades, and misrepresented investments. Here is more about […]

JAMES LYONS Cause Your Investment Losses?  Soreide Law Group is reviewing possible claims on behalf of investors who lost money investing with Raymond James & Associates, Inc. (“Raymond James”) securities broker James Lyons (CRD#: 1020397, Shreveport, Louisiana), who FINRA barred on June 4, 2018. Notably, the Financial industry Regulatory Authority (“FINRA”) shows that at least […]

JAY AMBROSON Investor Complaints? The Financial industry Regulatory Authority (“FINRA”) BrokerCheck shows that investors disputed the sales practices of Gould, Ambroson & Associates President, Jay Ambroson (CRD#: 859012, Garden City, New York), whom the firm disaffiliated with in July 2018. Evidently, from June 1, 2018 to May 21, 2019, at least eight clients of his […]

DAVID STRNAD Suspended, Fined By FINRA The Financial Industry Regulatory Authority (“FINRA”) issued Morgan Stanley securities broker David Strnad (CRD#: 1982721, Nashville, TN) a suspension and fine of $10,000 for his unauthorized purchases and sales in an investors’ account. Namely, Strnad submitted a Letter of Acceptance, Waiver, and Consent (“AWC”) #:2016051569601 on May 13, 2019, […]

INVESTOR ALERT: FINRA Bars JAMES SCHWARTZ For Excessive Trading The Financial Industry Regulatory Authority (“FINRA”) announced it barred Aegis Capital Corp securities representative James Bradley Schwartz (CRD#: 3043085, New York City, New York) for making fraudulent trades and churning Aegis Capital Corp customers’ accounts. A settlement was reached April 16, 2019 in Case #2016051704302, following […]