David A. Noyes Investors have come forward with complaints about securities broker Scott Thomas Wolfrum [CRD #: 2187550, Indianapolis, IN]. Wolfrum worked for (1) Huntleigh Securities Corporation from 2018-2019; (2) David Noyes & Company from 2013-2018; and Wells Fargo Advisors from 2011-2013. Here’s more on the investor disputes reported on Financial Industry Regulatory Authority (FINRA) […]

Did Broker Mark Barrand Sell You Bad Annuities The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of sales practice violations by securities broker Mark Barrand (CRD#: 4586528, Lone Tree, Colorado]. Specifically, 5 clients brought disputes to challenge Barrand’s recommendations or trading. These disputes suggest that Barrand provided bad investment advice and was responsible for […]

Soreide Law Group Investigating KBS Strategic Opportunity REIT II Soreide Law Group is investigating potential claims on behalf of investors who bought KBS Strategic Opportunity REIT II because of the advice of their brokers or financial advisors. KBS Strategic Opportunity REIT II is a publicly registered non-traded real estate investment trust that concentrates in the […]

INVESTOR ALERT! MML Investors Terminates Michael Vogt, Aaron Black, Thomas Ebel, William Pitre MML Investors Services, LLC (CRD#: 10409, Springfield, Massachusetts) is a brokerage firm regulated by Financial Industry Regulatory Authority (“FINRA”) and investment adviser firm regulated by Securities and Exchange Commission (“SEC”). Apparently, the company is also known as MassMutual Financial Group, In Good […]

Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, July, 2013.” Gary Mitchell Spitz (CRD #1828144, Registered Principal, Fairfield, Iowa) was fined $5,000 and suspended from association with any FINRA member in any principal capacity for one year. Without admitting or […]

The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, May, 2013.” Ronald Wayne Lankford (CRD #1751588, Registered Principal, Tampa, Florida) was suspended from association with any FINRA member firm in any principal capacity other than as a FINOP (Series 27) and Introducing Broker-Dealer/FINOP (Series 28) for 18 months; suspended from association […]

Bruce Kelly writes in a Sept. 13th, 2011, article in InvestmentNews.com that a broker-dealer who sold millions of dollars of failed private placements reached a $200,000 settlement with the Financial Industry Regulatory Authority Inc. last month, with the money going to the investors. In a Finra letter of acceptance, waiver and consent, Capital Financial Services Inc. of Minot, […]