LPL Clients Complain About Securities Broker Michael Henschel's Annuity, REIT Transactions Soreide Law Group comes to you with some helpful information in regard to securities broker Michael James Henschel (CRD#: 3112890, Stevens Point, Wisconsin). Specifically, the securities broker, who has worked as both an LPL Financial advisor and securities broker since October 2011, is involved […]

FINRA Bars LPL Financial Securities Broker Rhett Bedwell After Investigating Client Disputes, Termination From LPL The Financial Industry Regulatory Authority (FINRA) barred securities broker Rhett Douglas Bedwell (CRD#: 5664392, Rogers, Arkansas). This is to resolve allegations of his misconduct during the regulator’s investigation into his possible misuse of a client’s funds and possible forgery when […]

LPL Financial Client Brings Dispute About Investing In REIT, BDC Through Broker Laura Shrawder-Miles Soreide Law Group provides you with new information in regard to the allegations against securities broker Laura Renee Shrawder-Miles (CRD#: 2384721, Sunbury, Pennsylvania). Notably, four investors disputed Shrawder-Miles’s sales practices, and LPL Financial LLC disaffiliated with her for alleged misconduct. Let’s […]

Breach Of Fiduciary Duty Alleged In Dispute About William Randall Soreide Law Group is examining possible investor lawsuits against securities broker William Perry Randall (CRD#: 1392233, Rockford Illinois). The Financial Industry Regulatory Authority (“FINRA”) reports that at least two investors disputed Randall’s sales practices. These disputes raise allegations of breach of fiduciary duty and suitability. […]

Soreide Law Group recently filed a FINRA arbitration on behalf of our client (Claimant) against: LPL FINANCIAL LLC (Respondent) The Claimant resides in Illinois and resided there during the time he maintained accounts with the Respondent.  LPL is a full-service securities broker/dealer with offices around the country. The Claimant brings this lawsuit due to LPL […]

BRADLEY EVERETT GARDNER (CRD#: 4423724) an advisor formerly with LPL Financial in Fort Bragg, California, has been barred by FINRA from acting as a broker or otherwise associating with a broker-dealer firm, following allegations of misappropriating $7,400 from an elderly client. According to FINRA, Gardner allegedly accepted a $7,400 personal check from the elderly client […]

A THOMAS EDWARD ANDREWS (TOM ANDREWS) CRD#: 4587953, a broker formerly with LPL Financial in Salt Lake City, Utah, has been charged with defrauding 23 investors by the SEC.  Andrews is currently in federal prison. Included in these charges are Andrews’ former assistant, Scott Christensen, who also is in prison. The latest complaint filed by […]

THOMAS HOWARD CANIFORD (TOM CANIFORD) CRD#: 1049021 a former LPL Financial broker who pled guilty in Ohio to 135 counts in 2016, had an order filed against him by the Securities and Exchange Commission (SEC) on March 30, 2017 to bar him from the securities industry.  Tom Caniford was permanently barred by the Financial Industry Regulatory […]

Soreide Law Group is investigating claims on behalf of our client involving former LPL Financial and Edward Jones broker, MARCOS YANEZ (CRD#: 5353857). Mr. Yanez most recently worked at an LPL Financial office in Dallas, Texas. Mr. Yanez also maintained an outside electrician business. Upon information and belief, allegedly Mr. Yanez encouraged certain clients to […]