Soreide Law Group is investigating possible investor claims against Lang Nguyen (also known as Lang Phu Nguyen) (CRD: 6526189, Campton Hills, IL). Evidently, FINRA sanctioned the securities broker, who worked for Edward Jones. Allegedly, Nguyen engaged in discretionary trading. Here is a brief summary of FINRA’s allegations against Nguyen. However, keep in mind that Nguyen […]

Soreide Law Group is investigating possible investor claims against John Griner (also known as John Frederick Griner) (CRD: 1024669, Athens, Georgia). Notably, FINRA sanctioned the securities broker, who worked for Morgan Stanley. Allegedly, Griner engaged in discretionary trading. Here is a brief summary of FINRA’s allegations against Griner. However, please note that Griner denies the […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Corey Johnson (also known as Corey Alexander Johnson) (CRD: 5752206, Melville, New York). Notably, FINRA sanctioned Johnson for discretionary trading. However, Johnson denies the allegations. Read on to learn more about the allegations against Johnson. FINRA Sanctions Corey Johnson For Discretionary Trading Evidently, […]

Soreide Law Group is investigating possible investor claims against securities broker Joel Kichline (also known as Joel Paul Kichline) [CRD: 1416219, Frontenac, MO. Notably, Stifel Nicolaus Company Incorporated permitted Joel Kichline to resign amid allegations of his misconduct. Supposedly, Kichline possibly engaged in discretionary trading. Here is a brief summary of Stifel Nicolaus Company Incorporated’s […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Alan Feigenbaum (also known as Alan Scot Feigenbaum) [CRD: 3132230, Boynton Beach, FL]. Not only has FINRA sanctioned Feigenbaum for discretionary trading, but investors complained about the securities broker. However, Feigenbaum denies the allegations. Read on to learn more about the allegations against […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker John Charles Barnes (CRD:  862738, Naples, FL). Not only has FINRA sanctioned Barnes for unauthorized trading, but investors disputed the sales practices of the securities broker. However, Barnes denies the allegations. Read on to learn more about the allegations against Barnes. FINRA Issues […]

Soreide Law Group is investigating possible investor claims against securities broker Thomas Hallberg (also known as Tom Hallberg) [CRD: 3053755, Forest Lake, Minnesota]. Notably, FINRA sanctioned the securities broker, who worked for Edward Jones. Allegedly, Hallberg made discretionary trades. Here is a brief summary of FINRA’s allegations against Hallberg. FINRA Sanctions Edward Jones’ Thomas Hallberg […]

The Financial Industry Regulatory Authority (FINRA) important information relating to securities broker Scott Neil Hananel [CRD #: 3080827, Melville, NY]. Hananel worked for (1) Aegis Capital Corp from 2010-2021; (2) GunnAllen Financial Inc. from 2005-2010; and (3) Milestone Group Management from 2002-2005. Evidently, Aegis Capital Corp. investors disputed the sales practices of the securities broker. […]

Soreide Law Group comes to you with new information regarding securities broker Neil David Berlant (CRD#: 19550, Los Angeles, California). Namely, FINRA sanctioned the securities broker, who worked for D.A. Davidson & Co. (DADCO) between November 2013 and June 2020. Also, his employer discharged him in May 2020, and a client complained about his sales […]