Investors might have sustained losses due to securities broker Glennon James Cole (also known as Glen Cole) [CRD: 1999588, Manchester, Missouri], based on the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Cole was employed by Moloney Securities Co. Inc. from September 14, 2012, to February 8, 2021. Continue reading to learn more about […]

Investors might have sustained losses because of securities broker Luke Michael Johnson [CRD: 3257008, Scottsdale, Arizona]. Johnson worked for Coastal Equities Inc. from April 3, 2012, to December 13, 2019. Below, you'll find information about some investor disputes concerning Johnson. You'll also learn more about a recent FINRA case where the regulator sanctioned him for […]

Soreide Law Group is currently investigating potential claims on behalf of investors who may have incurred losses due to the conduct of securities broker and financial advisor, Kurt Douglas Cambier (CRD#: 1392482, Littleton, Colorado). Evidently, Cambier currently works with Cambridge Investment Research Inc. and Cambridge Investment Research Advisors Inc. in Littleton and Grand Junction, Colorado, […]

Soreide Law Group is investigating possible investor claims against securities broker Luke Michael Johnson [CRD: 3257008, Scottsdale, Arizona]. Notably, FINRA filed an enforcement or civil action against the securities broker, who worked for Coastal Equities Inc., regarding suitability and falsification of information. Here is a brief summary of FINRA’s allegations against Johnson. FINRA Charges Johnson […]

Investors complained about securities broker Leo Li-Yuan Chien (CRD: 4169619, San Gabriel, California). Notably, the securities broker, who worked for Cetera Investment Services LLC, disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Namely, Cetera Investment Services LLC clients allege that Chien gave unsuitable advice. For more on these disclosures about Chien, see below. […]

Soreide Law Group is investigating possible investor claims against securities broker Jack Jones Jr. (also known as J.J. Jones Jr.) [CRD: 2539111, Houston, Texas]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Triad Advisors LLC. For example, clients alleged unsuitable recommendations. Here […]

Soreide Law Group is investigating possible investor claims against securities broker Anthony Pitta AKA Anthony John Pitta [CRD#: 1958029, Melville, NY]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Capital Investment Group. Notably, investors allege sales practice violations in these disputes, including […]

Soreide Law Group is investigating possible investor claims against securities broker Christopher Grant Conness [CRD#: 4778193, Fort Lauderdale, FL]. Conness worked for (1) Global Wealth Management Investment Advisory Inc. from 2017-Present; (2) Madison Avenue Securities LLC from 2017-Present; (3) Global Financial Private Capital LLC from 2010-2018; and (4) G.F. Investment Services LLC from 2009-2017. Specifically, […]

Raymond James & Associates Subject Of Customers’ Fraud Allegations Soreide Law Group is investigating claims on behalf of those who invested with Raymond James registered representatives including Jonathan Towne Melges, Philip Thomas Maurer, Mark David Kopkin, Eric Paul Frey and Clay Cale Rucker. Raymond James & Associates, Inc. (CRD#: 705, Saint Petersburg, Florida) is a […]