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 […]

BROKER MISCONDUCT: Merrill Lynch Terminates Jacob Wagner, Jessica Caden, Scott Tilley, Keith McIntosh Merrill Lynch (CRD#: 7691, New York, New York) is a SEC-regulated investment adviser and FINRA-regulated brokerage firm. Notably, with a company containing over 15,000 employees, Merrill Lynch is bound to have bad apples working for them every once in a while. Particularly, […]

AATTENTION: Soreide Law Group Investigating MetLife Brokers Michael Miley, Chong Kim, Chris Maltese Soreide Law Group is investigating possible claims on behalf of customers who invested with brokers of MSI Financial Services Inc. (FINRA CRD#: 14251), also known as MetLife Securities, Inc. Specifically, the firm is reviewing possible claims of misconduct against MetLife brokers Michael […]

INVESTOR WARNING! Complaints Filed Against BBVA Securities Brokers Samuel Doria, Whitney Streck, Roberto Clynes BBVA Securities Inc. (CRD#: 27060, New York, New York) is a brokerage firm regulated by the Financial Industry Regulatory Authority (“FINRA”). Since establishment, BBVA Securities Inc. reports eight instances in which securities regulators or the firm’s customers have alleged the firm […]

Merrill Lynch Customers File Disputes Concerning John Clark, Charles Watson, Akinwale Adebayo, Glenn Patti Merrill Lynch, Pierce, Fenner, & Smith Incorporated (CRD#: 7691, New York, New York) is a brokerage firm regulated by FINRA and investment advisor firm regulated by SEC. Notably, on 559 occasions, Merrill Lynch disclosed that a regulator pursued sanctions against the […]