Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker JR Richard Allen Ceffalio Jr. (also known as Rich Ceffalio) [CRD: 2619565, Arlington Heights, Illinois], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Richard Ceffalio worked for LPL Financial LLC from November 15, 2019, to […]

Investors might have sustained losses due to Lawrence Richard Brockman [CRD: 1126810, Poland, Ohio], and FINRA sanctioned the securities broker, based on the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Brockman worked for Moors Cabot Inc. from January 29, 2016, to October 11, 2022. Continue reading to learn more about Brockman's client disputes […]

FINRA sanctioned securities broker Cynthia S. Beyerlein (also known as Cindy Beyerlein) [CRD: 4320421, San Diego, California], considering the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Beyerlein worked for Ameriprise Financial Services LLC from April 25, 2014, until February 9, 2023, and briefly at Kingswood Capital Partners LLC from March 28, 2023, to […]

Soreide Law Group is conducting an investigation on behalf of investors who have sustained losses with securities broker Courtney Michelle Kaplan (Courtney Michelle Carlsen, Courtney Michelle Ingram, Courtney Ingram Yarmesch, and Courtney Michelle Yarmesch) [CRD#: 5249375, Palm Harbor, Florida]. Evidently, Kaplan worked with LPL Financial LLC in Palm Harbor, FL, from March 11, 2019, to […]

Soreide Law Group is currently investigating potential claims on behalf of individuals who have suffered losses invested with registered broker and investment adviser, Brian M. Wurdemann (CRD#: 4206425, New York, NY). Notably, Wurdemann worked with RBC Capital Markets LLC in New York, NY from May 4, 2017, to May 5, 2022, and with UBS Financial […]

Soreide Law Group is investigating possible investor claims against securities broker Alicia Myrthala Hinojosa Gutierrez (CRD: 2964653, New York, New York). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that one or more investors disputed the sales practices of the securities broker, who worked for Merrill Lynch Pierce Fenner Smith Incorporated. Here is a brief […]

Soreide Law Group is investigating possible investor claims against securities broker Tyler Dean Delahunt (CRD: 4419594, Atlanta, Georgia). Evidently, FINRA sanctioned the securities broker, who worked for Merrill Lynch Pierce Fenner Smith Incorporated. Allegedly, Delahunt failed to provide information and documents to FINRA when it conducted an investigation. Here is a brief summary of FINRA’s […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Tony Liddle (also known as Anthony Baker Liddle) (CRD:  5478479, Oshkosh, WI). Evidently, investors disputed the sales practices of the securities broker, who worked for Landolt Securities Inc. Additionally, the securities broker discloses a regulatory enforcement action. Read on to learn more about […]

Soreide Law Group is investigating possible investor claims against securities broker Andy Forrest (also known as Dallah Anderson Forrest Jr.) (CRD:  2224283, Greenville, SC). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Raymond James Associates Inc. Evidently, one or more investors alleged […]