Securities Broker Jeffrey Fitz Is Involved In An Investor's Dispute Alleging Misrepresentation Soreide Law Group is examining investor disputes concerning securities broker Jeffrey William Fitz (CRD#: 2211620, Short Hills, New Jersey), as disclosed on FINRA BrokerCheck. Evidently, Fitz worked for securities firm Merrill Lynch as a securities broker and financial advisor from 2013 to 2021. […]

Merrill Lynch's Heather Weber Allegedly Sold Unsuitable, Misrepresented Investments Soreide Law Group is reviewing possible investor claims against Heather Peterson Weber (CRD#: 2911524, Clearwater, Florida). Evidently, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that the securities broker, who joined Merrill Lynch in 2006, is involved in 10 investor disputes. Overall, these lawsuits seem to suggest […]

Merrill Lynch Customers File Disputes Concerning John Clark, Charles Watson, Akinwale Adebayo, Glenn Patti Merrill Lynch, Pierce, Fenner, & Smith Incorporated (CRD#: 7691, New York, New York) is a brokerage firm regulated by FINRA and investment advisor firm regulated by SEC. Notably, on 559 occasions, Merrill Lynch disclosed that a regulator pursued sanctions against the […]

Soreide Law Group has filed a FINRA arbitration on behalf of their clients against, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (MERRILL LYNCH) and JOHN KIRKLAND MOY (JOHN MOY or MOY), CRD# 848350. The Claimants, a retired couple from Florida in their late 70s and early 80s, have been married for over 50 years.  The […]

Soreide Law Group has launched an investigation on behalf of clients wishing to file claims against Merrill Lynch, Pierce, Fenner & Smith regarding the sale of the Bank of America Strategic Return Notes.  Dozens of investors have already filed law suits. The Strategic Return Notes are unsecured debt securities.  These securities are linked to the […]

Tammy Charlene Petersen (CRD #4161501, Carrollton, Virginia) aka TAMMY CHARLENE BARBER, TAMMY CHARLENE BARBER, TAMMY CHARLENE BROUSSARD, TAMMY CHARLENE BROUSSARD, or TAMMY PETERSEN was barred by FINRA for allegedly converting approximately $107,378 from her member firm clients for her own personal use and benefit without the clients’ knowledge or consent. FINRA's findings stated that Petersen […]

Michael Richard Crow (CRD #57845, San Jose, California) was fined $7,500 and suspended by FINRA for 30 business days for allegedly exercising discretion in a client’s account without his member firm’s prior written authorization. FINRA's findings stated that allegedly Crow had exercised discretion in a client’s non-discretionary account and without a power of attorney after […]

JOSE A. CARBAJAL (CRD# 2691767), a financial advisor from Downey, California, was arrested recently for allegedly stealing $300,000.00 from his elderly clients. Criminal charges have been filed against Carbajal. Jose Carbajal was charged with three counts of theft from an elderly person exceeding $200,000. Carbajal was arraigned in Los Angeles County Superior Court. According to […]