FINRA barred securities broker Jihoon L. Park [CRD: 6535514, Fairfax, Virginia], according to publicly available information on FINRA BrokerCheck. Evidently, Jihoon Park worked for MML Investors Services LLC from April 9, 2016, to December 31, 2022. Read below for details about Jihoon Park’s regulatory and client dispute disclosures. FINRA Sanctioned Park For Failure To Comply […]

Investors might have sustained losses because of securities broker Reynold Wayne Neufeld (also known as Rey Neufeld) [CRD: 827427, Indio, California], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Neufeld worked for Centaurus Financial Inc. from May 16, 2008, to July 9, 2021. See the following summary for details about Neufeld’s […]

FINRA barred securities broker Robert Joseph Ornelas [CRD: 5973762, Los Angeles, California], based on disclosures on BrokerCheck. Robert Ornelas worked for Northwestern Mutual Investment Services LLC from July 31, 2012, to February 6, 2023. Read on to find out more the regulatory disclosure involving this broker and what it could mean for investors. FINRA Sanctioned […]

Investors might have sustained losses because of securities broker Richard John Webb [CRD: 6712838, Beachwood, Ohio], according to disclosures on FINRA BrokerCheck. Evidently, Webb worked for Park Avenue Securities LLC from August 6, 2019, to February 3, 2023. Keep reading to learn more about Richard Webb’s disclosures. Regulator Sanctioned Webb For Failing To Respond To […]

Soreide Law Group is looking into possible investor claims on behalf of those who incurred losses through securities broker John Jay Kersey [CRD: 1480524, Cincinnati, Ohio]. Notably, Kersey worked for Northwestern Mutual Investment Services LLC from June 8, 2001, to June 23, 2023. Here’s more on the FINRA sanctions against Kersey and investor disputes involving […]

Soreide Law Group is investigating potential claims on behalf of investors who suffered losses due to Darien Euclid Bonney (also known as D.E. Bonney) [CRD: 4899007, Scottsdale, Arizona]. Evidently, Bonney worked for MML Investors Services LLC from April 2, 2007, to January 27, 2022. Notably, investors allege sales practice violations in these disputes, including unsuitability […]

Soreide Law Group is currently reviewing potential claims on behalf of investors who may have encountered financial setbacks due to the actions of Alan Zelig Appelbaum [CRD: 500336, Boca Raton, Florida]. Evidently, Appelbaum's employment with Aegis Capital Corp. spanned from July 8, 2015, to May 14, 2021. Investors with connections to Appelbaum are urged to […]

FINRA BrokerCheck shows that investors have contested the sales practices of Ronald Terrence Molo [CRD: 4371241, Joliet, Illinois]. Also, SEC and FINRA sanctioned the securities broker, who worked for Edward Jones from 2001 to 2021. Here’s more about those disclosures. Ronald Molo Barred By SEC For Misappropriation On November 8, 2023, the United States Securities […]

Soreide Law Group is currently investigating potential claims on behalf of individuals who have suffered losses invested with registered broker and investment adviser, Brian M. Wurdemann (CRD#: 4206425, New York, NY). Notably, Wurdemann worked with RBC Capital Markets LLC in New York, NY from May 4, 2017, to May 5, 2022, and with UBS Financial […]