Concorde Investment Services Clients Dispute DPP, REIT Sales Practices Of Broker Richard Rodriguez The Financial Industry Regulatory Authority (“FINRA”) reports six investor disputes on the record of securities broker Richard Anthony Rodriguez Jr. (CRD#: 2973254, Fruitland Park, Florida). It appears that one or more of these investors alleges that Rodriguez’s actions at Charles Schwab and […]

Broker Thomas Laws Involved In Avantax Investors' Complaints Another investor appears to have disputed the sales practices of securities broker Thomas H. Laws (CRD#: 4494448, Silver City, New Mexico). The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck report on Laws shows that two investors disputed his sales practices. Not only that, but both SEC and FINRA […]

FINRA Arbitration Panel Orders Sunset Financial To Compensate Client For Private Placement Losses The Financial Industry Regulatory Authority (“FINRA”) reports that certain investors who experienced losses from private placements have recovered compensation in a lawsuit against Sunset Financial Services Inc. Evidently, that dispute, which clients filed in December of 2017, reportedly concerns Walton Vista Del […]

Centaurus Broker Marc Korsch Possibly Sold Bad Investments The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Marc F. Korsch (CRD#: 5525226, Sarasota, Florida). Namely, this securities broker, who worked for Trustmont Financial Group Inc. (2011 to 2014) and Centaurus Financial Inc. (2014 to 2021), is involved in investor disputes […]

Investors Dispute Arni Diamond's Alternative Investment Sales Soreide Law Group provides you with this Investor Alert in regard to securities broker Arni Jay Diamond (CRD#: 2667392, Jacksonville, Florida). As reported on FINRA BrokerCheck, eight or more investors disputed Diamond’s sales practices. Just on October 15, 2020, Dempsey Lord Smith permitted Diamond to resign amid allegations […]

Broker Clement Chichester Targeted In Disputes About Alternative Investments The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of misconduct by securities broker Clement Chichester (CRD#: 1255275, Westlake Village, California). It appears that three or more investors complained about Chichester, who worked for Western International Securities from 2012 to 2017 when the firm disaffiliated with […]

Broker Brian Roth Reportedly Breached A Fiduciary Duty To Investors And Made Bad Investment Recommendations The investment loss lawyers at Soreide Law Group provide you this investor alert in regard to problem securities broker Brian Robert Roth (CRD#: 4607595, Chester, New Jersey). Apparently, no less than three investors filed disputes about the securities broker, who […]

IFG, Berthel Clients File Disputes About Shawn Davis' Alternative Investment Sales Soreide Law Group is looking into potential investor disputes against securities broker Shawn Bruce Davis [CRD#: 2911230, Auburn, California]. Notably, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that at least 10 clients took issue with the broker, who worked for Independent Financial Group, Berthel […]

JEFF NIMMOW Sell You Bad Investments? Soreide Law Group is considering bringing claims on behalf of investors who incurred losses by investing with Jeff Nimmow (CRD#: 2693601, Hillside, Illinois). According to Nimmow’s Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Report, at least four clients complained about his sales practices. Not only that, but Forest Securities discharged […]