Investors might have sustained losses due to securities broker David Gary Simon [CRD: 1064191, Crystal Bay, Nevada], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, David Simon has worked for Western International Securities Inc. since January 23, 2004. Here’s more about the investor disputes and disclosures concerning this securities broker. Western International […]

Soreide Law Group is looking into possible investor claims against securities broker David William Jack (CRD: 2415526, Paramus, New Jersey). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Morgan Stanley. Evidently, investors allege sales practice violations in these disputes, including that Jack […]

Soreide Law Group is investigating possible investor claims against securities broker Patrick Christopher Durst [CRD #: 6328382, Centennial, CO]. Durst worked for (1) Lifemark Securities Corp from 2018-present and (2) Jackson National Life Distributers from 2014-2018. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses Lifemark investors disputed the sales practices of the securities broker. Evidently, […]

Soreide Law Group is investigating possible investor claims against securities broker Clark Owen [CRD #: 6096730, Cupertino, CA]. Owen worked for (1) Cetera Investment Advisors and Cetera Investment Services from 2018-Present; (2) NI Advisors from 2016-2018; and (3) Voya Financial Advisors from 2014-2015. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that a NI Advisors […]

Morgan Stanley Clients Voice Complaints Regarding Jim Drigger's Investment Recommendations Investors appear to have filed disputes involving securities broker James Yang Driggers (“Jim Driggers”) (CRD#: 1359593, Sarasota, Florida). Specifically, Driggers, who worked for Morgan Stanley from 2008 to 2021, is involved in disputes where clients allege sales practice violations. Let’s take a closer look at […]

Gregory Robert Swenson (CRD #2236695, Lake Forest, Illinois) was assessed a deferred fine of $75,000 and suspended by FINRA for allegedly making misleading and inaccurate statements to numerous corporate bond dealers while participating in and obtaining allocations of bonds for an unregistered proprietary trading firm. Through Swenson, his firm placed orders for securities primarily in […]

The following summation of information from FINRA's website listed under “Disciplinary and Other FINRA Actions, April, 2015,” was obtained by the Pompano Beach, Florida-based Soreide Law Group, (888) 760-6552. Roger Kumar Jr. (CRD #2702488, Ocean Ridge, Florida) was assessed a deferred fine of $50,000 and suspended by FINRA one year for allegedly making misleading and […]

Cantor Fitzgerald & Co. (CRD #134, New York, New York) was censured, fined $65,000 and required to revise its WSPs (Written Supervisory Procedures). Allegedly, Cantor Fitzgerad & Co. failed to publish immediately a bid or offer that reflected the price and the full size of customer limit orders for over-the-counter (OTC) equity securities, held by […]