Melinda Abood (UBS Financial Services) Targeted In Investor Disputes The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Melinda Joyce Abood (CRD#: 867463, New York, New York). Namely, the securities broker and financial advisor, who joined UBS Financial Services in April 1986, is involved in five investor disputes. Here’s more […]

Broker Shahida Hossain Terminated From RBC, Involved In Wells Fargo Investor Disputes Soreide Law Group provides you with this Investor Alert in regard to securities broker Shahida Arunima Hossain (CRD#: 2783839, Chicago, Illinois), who also goes by the name Shahida Syeda. Just in May 2020, RBC Capital Markets disaffiliated with the broker. In addition, two […]

Securities Broker John Kellar Might Have Caused Investor Losses Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports six investor disputes on the BrokerCheck report of securities broker John P. Kellar (CRD#: 1436046, Naples, Florida). Namely, investors who brought disputes indicate that Kellar, who presently works for Wells Fargo, seemingly sold unsuitable investments causing losses. […]

Securities Broker Christopher Swan Involved In Investor Disputes Financial industry Regulatory Authority (“FINRA”) reports that investors have filed disputes or lawsuits against securities broker Christopher Allan Swan (CRD#: 5810132, Irving, Texas). Notably, two investors brought disputes between 2019 and 2020 which are summarized below. BB&T Investments Client Indicates Christopher Swan Made Unauthorized Mutual Fund Transactions […]

BrokerCheck Reports Disputes About George Nikolakakos For Advice Soreide Law Group is investigating the advancement of certain lawsuits against securities broker George Nikolakakos (CRD#: 2907561, Omaha, Nebraska). Critically, five investors brought disputes which suggest that the broker caused their investment losses. Here’s what we know so far. Four Points Client Indicates George Nikolakakos Provided Unsuitable […]

Broker William Herf Possibly Gave Bad Advice, Failed To Follow Instructions The investment loss recovery attorneys at Soreide Law Group provide you an update regarding troubled securities broker William Reilley Herf (CRD#: 2978220, Scottsdale, Arizona). Apparently, no less than three of Herf’s clients complained about his sales practices according to the broker’s Financial Industry Regulatory […]

Broker Eric Roark Supposedly Fails To Follow Instructions The Financial Industry Regulatory Authority (“FINRA”) reports alarming allegations with respect to Eric Travis Roark (CRD#: 4177967, New York, New York). Not only has Ameriprise Financial Services disaffiliated with the securities broker, but two of Roark’s clients also complained about him. These disputes raise questions as to […]

Alexander Capital Broker Jody Thompson Might Have Sold You Bad Alternative Investments The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of sales practice violations by Alexander Capital securities broker Jody Ethan Thompson (CRD#: 2391190, New York, New York). In fact, Thompson discloses three investment disputes on his FINRA BrokerCheck Report which signals that he […]

JAMES BOOTH Barred From Securities Industry Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) barred LPL Financial LLC securities broker James Booth (CRD#: 1906145, Norwalk, Connecticut) for conversion. Evidently, Booth executed a Letter of Acceptance, Waiver and Consent (“AWC”) #: 2019062787101 on June 26, 2019, which FINRA accepted July 1, 2019. This AWC contains findings […]