Investors potentially experienced sales practice violations due to securities broker Christopher Lyle Halstedt (also known as Chris Halstedt) [CRD: 5372532, Dallas, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Halstedt worked for Goldman Sachs & Co. LLC from July 1, 2013, to August 15, 2024, and subsequently joined UBS Financial Services Inc. […]

One or more investors apparently complained about securities broker Gene Earl Griffin [CRD: 1637650, Terre Haute, Indiana], according to disclosures on FINRA BrokerCheck. Evidently, Gene Griffin has been a registered representative of CFD Investments Inc. since January 16, 2001, and is also associated with Creative Financial Designs Inc. These firms are both located in Indiana, […]

One or more investors apparently complained about securities broker Jeffrey K. Johnson (also known as Jeffrey Johnson) [CRD: 4769233, Denver, Colorado], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Jeffrey Johnson has been registered with UBS Financial Services Inc. since December 5, 2008, working from offices located at 4600 S. Ulster Street […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Joshua Leon Jenkins [CRD: 6061301, Mechanicsburg, Pennsylvania], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Joshua Jenkins worked for Northwestern Mutual Investment Services LLC from January 28, 2013, to December 20, 2023. Keep reading to […]

Investors possibly experienced losses because of securities broker Jeffry Neal Carel (also known as Jeff Carel) [CRD: 4935789, Edmond, Oklahoma], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Jeffry Carel worked for JP Morgan Securities LLC from October 1, 2012, to October 25, 2023, before his current employment with Wells Fargo Clearing […]

Some investors have potentially experienced damages because of securities broker Gregory Allen Foster [CRD: 1532735, Wayzata, Minnesota], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Foster joined UBS Financial Services Inc. in 2010 as a financial advisor and securities broker. Read below to learn more about the disputes involving Foster. UBS Financial […]

Soreide Law Group is currently conducting an investigation into the activities of Ryan Scott Mallow (also known as Ryan Mallow) [CRD#: 2420445, Jacksonville, Florida], a previously registered broker and financial advisor. Mallow worked with Fidelity Brokerage Services LLC in Jacksonville, Florida, from June 28, 2010, to June 2, 2023. He was previously affiliated with Stratton […]

ATTENTION INVESTORS: Claims Against MUTUAL SECURITIES, JACOB KAGELE Jacob Ray Kagele (CRD#: 4606475, Tucson, Arizona) used to work for Mutual Securities Inc. from May 15, 2009 to November 7, 2017. Evidently, Kagele’s Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Report shows that at least three customers of Kagele filed disputes concerning him. Mainly, customers claimed that […]