Financial Industry Regulatory Authority (FINRA) charged securities broker Thomas James Baumann [CRD: 5254392, New York, New York] with violating FINRA rules on hindering investigations, according to disclosures on BrokerCheck. Not only that, but Spartan Capital Securities LLC investors complained about his sales practices. Evidently, Thomas Baumann worked for Spartan Capital Securities from January 22, 2013, […]

Financial Industry Regulatory Authority (FINRA) barred securities broker Nicole Lynn Bolton (also known as Nicole Pageler) [CRD: 7279951, Boise, Idaho], according to disclosures on BrokerCheck. Evidently, Nicole Bolton worked for Northwestern Mutual Investment Services LLC from March 30, 2021, to March 9, 2023. Below, you’ll find a summary of Nicole Bolton’s disclosures. FINRA Barred Bolton […]

Investors possibly experienced losses because of securities broker Michael Gerard Gravelyn (also known as Mike Gravelyn) [CRD: 6569005, Grand Rapids, Michigan], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Not only that, but FINRA barred him. Evidently, Michael Gravelyn worked for Northwestern Mutual Investment Services from May 25, 2017, to June 14, 2017, […]

Financial Industry Regulatory Authority (FINRA) barred securities broker James Harry MacKellar [CRD: 803007, Newbury Park, California], according to disclosures on BrokerCheck. Not only that, but an investor complained about his sales practices. Evidently, James MacKellar worked for SagePoint Financial Inc. from October 31, 2008, to June 7, 2023. Keep reading to learn more about James […]

Financial Industry Regulatory Authority (FINRA) brought a complaint against securities broker Gary Francis Harpe [CRD: 2983634, Farmington Hills, Michigan] for obstructing an investigation, according to disclosures on BrokerCheck. Evidently, Gary Harpe worked for PFS Investments Inc. from February 5, 1998, to January 10, 2023. Here’s an overview of the securities broker’s disclosures. FINRA Charged Harpe […]

Financial Industry Regulatory Authority (FINRA) barred securities broker Gabriel Ruiz [CRD: 7426643, Roseland, New Jersey], according to disclosures on BrokerCheck. Evidently, Gabriel Ruiz worked for ADP Broker-Dealer Inc. from December 20, 2021, to January 24, 2023. Below, you’ll find a summary of Ruiz’s disclosures. FINRA Barred Ruiz For Refusing To Produce Documents In Investigation Particularly, […]

Soreide Law Group explains investor claims concerning Lickhai Quach [CRD: 2804704, Rockville, Maryland] reported on FINRA BrokerCheck. Evidently, Quach worked for Transamerica Financial Advisors Inc. from January 6, 2012, to March 10, 2023. Notably, FINRA barred the broker, and investors filed disputes alleging sales practice violations. Here’s more on those disclosures. FINRA Claims Failure To […]

Soreide Law Group is currently investigating potential claims on behalf of investors who may have incurred financial losses due to the actions of Thomas Simpson (also known as Phillip Simpson) (CRD: 5335897, Clifton, TX). Specifically, Simpson worked for Farmers Financial Solutions, LLC in Clifton, TX, from July 30, 2007, to March 28, 2023. Notably, FINRA […]

Soreide Law Group is presently investigating potential claims on behalf of investors who lost money due to Ronald Joseph Sagasser (also known as Ron Sagasser) (CRD: 5400879, Miamisburg, Ohio). Notably, Sagasser worked for W&S Brokerage Services, Inc. from May 11, 2018, to July 18, 2022. Evidently, FINRA sanctioned Sagasser on July 6, 2023. Moreover, Sagasser […]