Investors might have sustained losses due to securities broker Donald J. Dever [CRD: 5317492, West Palm Beach, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Donald Dever joined UBS Financial Services Inc. on December 2, 2015. Continue reading to learn more about the disclosures involving Dever. UBS Financial Services Inc. Accused […]

Investors might have sustained losses due to securities broker Carroll Mac Wilson Jr. [CRD: 2777324, Beverly Hills, California], based on the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Wilson was employed by U.S. Bancorp Investments Inc. from May 18, 2005, to August 25, 2022. Continue reading to learn more about the disclosures involving […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Mark Edward Rippeteau [CRD: 869993, Seattle, Washington], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Rippeteau worked for RBC Capital Markets LLC from March 2, 1998, to July 19, 2023. Keep reading to learn more […]

Investors might have sustained losses because of securities broker Douglas Harry Chapman [CRD: 2230482, Clark, New Jersey], according to disclosures on FINRA BrokerCheck. Evidently, Chapman has registrations with LPL Financial LLC since January 11, 2024, and previously worked with Cetera Advisor Networks LLC and Securian Financial Services Inc. Read on to learn more about investor […]

Soreide Law Group is reviewing potential investor claims on behalf of individuals who incurred losses from securities broker Melissa Plotkin Spickler (also known as Melissa P. Plotkin, Melissa P. Plotkins, and Melissa Plotkinspickler) [CRD: 719397, Bloomfield Hills, Michigan]. Notably, Spickler has worked for Merrill Lynch Pierce Fenner Smith Incorporated as both a broker and a […]

Investors may have encountered losses due to Daniel Stephen Snodgrass [CRD: 4083817, Cherry Hill, New Jersey], as indicated by disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Snodgrass worked as both a financial advisor and securities broker with BCG Securities Inc. in Cherry Hill, New Jersey, from March 6, 2017, to July 18, 2023. […]

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 […]

FINRA BrokerCheck shows regulatory sanctions and investor claims concerning Robert C. David Jr. [CRD: 5211223, Farmington Hills, Michigan]. Evidently, he worked for Morgan Stanley from June 1, 2009, to April 2, 2019. Notably, the sanctions concern allegations of falsifying information and overconcentrating investor accounts in risky products. Also, investor disputes center around allegations of misrepresentation […]

Soreide Law Group is reviewing potential investor claims on behalf of those who may have invested with securities broker Marion Leonberger (also known as Marion Leopold Leonberger Jr. and as Sonny Leonberger (CRD#: 1083568, Louisville, Kentucky). Notably, FINRA BrokerCheck shows three investor disputes on the record of the securities broker. Evidently, he worked for American […]