One or more investors apparently complained about securities broker William Tenpenny (also known as Will Tenpenny) [CRD: 5606390, Spring Hill, Tennessee], according to publicly available information on FINRA BrokerCheck. Evidently, William Tenpenny has worked for Edward Jones since May 6, 2009, serving as both a broker and investment adviser at the firm's Spring Hill, Tennessee […]

Clients Indicate MML Broker Charles Evan Gave Bad Advice, Misrepresented Investments Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of misconduct concerning Charles Jonathan Evan (CRD#: 836083, Wellesley, Massachusetts). Namely, the securities broker, who worked for securities firms including MSI Financial Services (2015 to 2017) and MML Investors Services (2017 to 2019), […]

Kovack Broker Andrew Corbman Allegedly Breached A Fiduciary Duty Investor Alert! Financial Industry Regulatory Authority (“FINRA”) BrokerCheck signals troubling information in regard to securities broker Andrew Corbman [CRD#: 2513558, Lansdowne, Virginia]. Apparently, at least 19 clients took issue with the securities broker, who worked for Kovack Securities (2011-2015) and Newbridge Securities Corporation (2015-2016). Not only […]

Oppenheimer's Eric Rosenberg Allegedly Made Bad Recommendations Soreide Law Group is investigating potential investor claims against securities broker Eric Brian Rosenberg [CRD#: 1027041, New York, New York]. Notably, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck reports that at least 5 clients contested the securities recommendations or sales of the securities broker, who joined Oppenheimer & Co. […]

Newport, Paulson Investors Suggest Broker John Tarpinian Breached Fiduciary Duty Soreide Law Group is investigating potential investor claims against securities broker John Tarpinian [CRD#: 1013555, New York, New York]. Notably, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that 12 clients contested securities recommendations or sales made by Tarpinian, who associated with Newport Coast Securities (“Newport”) […]

The Securities and Exchange Commission (SEC) recently announced that it has obtained an emergency court order to freeze the assets of a South Florida man who has been charged with fraudulently offering investments in oil drilling projects in an article posted on the SEC's website. The SEC’s complaint, unsealed in federal court in West Palm […]