Soreide Law Group is currently examining potential claims on behalf of investors who have incurred financial losses due to the actions of securities broker and financial advisor, Rogerio T. Almeida (Rogerio T. De Almeida Filho) [CRD: 7083841, Orange City, Florida]. Almeida worked with Edward Jones from May 11, 2019, to September 7, 2022. The Financial […]

Soreide Law Group is actively investigating potential claims on behalf of investors who may have sustained losses through dealings with securities broker Marc Frederick Korsch (CRD: 5525226, Sarasota, Florida). Notably, Korsch was previously affiliated with employers Arkadios Capital from March 1, 2021, to September 3, 2021, and Centaurus Financial, Inc. from February 10, 2014, to […]

Investors have come forward with complaints about Robert T. Li [CRD: 4068255, Naperville, Illinois]. Evidently, the securities broker, who worked for LPL Financial LLC, discloses client suitability disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. For more on these disclosures about Li, see below. Remember that the broker denies the accusations against him. LPL Financial […]

Soreide Law Group is investigating possible investor claims against securities broker Jonathan Korbin Dickson [CRD: 4287732, Atlanta, Georgia]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Morgan Stanley. Notably, investors allege sales practice violations in these disputes, including misrepresentations. Here is a […]

Investors have come forward with complaints about Gregory Robert Sain [CRD: 1629842, Beverly Hills, California]. Evidently, the securities broker, who worked for Morgan Stanley Smith Barney, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Morgan Stanley Smith Barney clients allege unsuitable trading. For more on these disclosures about Sain, see below. Morgan […]

Soreide Law Group is investigating possible investor claims against Helen Grace Caldwell (also known as Helen Grace Corpuz) (CRD: 1957501, Chicago, Illinois). Notably, FINRA sanctioned the securities broker, who worked for Citigroup Global Markets Inc. Allegedly, Caldwell failed to testify when FINRA carried out an investigation. Here is a brief summary of FINRA’s allegations against […]

Investors have come forward with complaints about securities broker Daniel Jay Sherman (CRD: 2136218, New York, New York). Notably, the securities broker, who worked for Morgan Stanley Smith Barney LLC, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Morgan Stanley Smith Barney LLC clients allege that Sherman made unsuitable recommendations. For more […]

Investors have come forward with complaints about Timothy Allen Thelen (also known as Tim Thelen) (CRD: 1924966, Scottsdale, Arizona). Evidently, the securities broker, who worked for Aeon Capital Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Particularly, Aeon Capital Inc. clients allege that Thelen breached a contract, breached a fiduciary duty, was […]

Soreide Law Group is investigating possible investor claims against securities broker Mark Samuel Epps (CRD: 2185338, Bloomfield Hills, Michigan). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Broadstone Securities. Supposedly, one or more individuals claim that Epps breached a fiduciary duty and […]