FINRA BrokerCheck barred securities broker Roy Kevin Williams [CRD: 843607, Indianapolis, Indiana], according to disclosures on BrokerCheck. According to the regulator, Williams worked for Stifel Nicolaus Company Inc. from June 17, 2009, to May 16, 2023. Here’s more about the securities broker’s disclosures. FINRA Sanctioned Williams For Failing To Testify Specifically, on September 5, 2024, […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Frank Enrique Lumpuy [CRD: 2108307, Miami, Florida]. Lumpuy has worked in the securities industry for over 32 years and was most recently registered with Kovack Securities Inc. from June 2006 to February 2024. Recent disclosures reveal concerns about Lumpuy’s professional conduct, including client disputes, […]

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 […]