Soreide Law Group is investigating possible investor claims against securities broker Samuel Heavrin (CRD: 6996924, Denver, Colorado). Particularly, FINRA sanctioned the securities broker, who worked for JP Morgan Securities LLC. Allegedly, Heavrin failed to respond to FINRA’s request for information. Here is a brief summary of FINRA’s allegations against Heavrin. FINRA Sanctions Heavrin For Failure […]

Soreide Law Group is investigating possible investor claims against Nicholas Radke (also known as Randy Radke Jr.) (CRD: 2610246, Irvine, California). Notably, an Oregon regulator sanctioned the securities broker, who worked for American Independent Securities Group LLC. Allegedly, Radke made misrepresentations and omissions of material fact. Here is a brief summary of the regulatory allegations […]

Soreide Law Group is investigating possible investor claims against Nedjeen Baptiste (also known as Nedjeen Baptiste) (CRD: 6308317, Lantana, Florida). Notably, FINRA sanctioned the securities broker, who worked for J.P. Morgan Securities LLC. Allegedly, Baptiste failed to provide information and documents to FINRA when it investigated possible FINRA rule violations. Here is a brief summary […]

Soreide Law Group is investigating possible investor claims against Mayur Dalal (also known as Mayur T. Dalal) (CRD: 1853077, New Hyde Park, New York). Evidently, FINRA sanctioned the securities broker, who worked for Kestra Investment Services LLC. Allegedly, Dalal failed to testify when FINRA investigated the securities broker for possible FINRA rule violations. Here is […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Jonathan Dudley (also known as Jonathan H. Dudley) (CRD: 5413469, Atlanta, Georgia). Mainly, FINRA sanctioned Dudley for his failure to provide information. However, Dudley denies the allegations. Read on to learn more about the allegations against Dudley. Jonathan Dudley Sanctioned By FINRA For […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker John Terzis (also known as John Nicholas Terzis) (CRD: 1805020, Skokie, Illinois). Not only has FINRA sanctioned Terzis for a client loan, but investors disputed the sales practices of the securities broker. However, Terzis denies the allegations. Read on to learn more about […]

Soreide Law Group is investigating possible investor claims against John Park (also known as John Clifford Park) (CRD: 5864589, Sioux Falls, SD). Notably, SEC sanctioned the securities broker, who worked for FBL Marketing Services LLC. Allegedly, Park committed forgery. Here is a brief summary of SEC’s allegations against Park. However, please note that Park denies […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker John Matson (also known as John Nicholas Matson) (CRD: 1796541, Manhattan Beach, California). Notably, investors disputed the sales practices of the securities broker, who worked for LPL Financial LLC. Additionally, the securities broker discloses a regulatory enforcement action. Notably, these disclosures allege Matson […]

Soreide Law Group is investigating possible investor claims against David Jenson (also known as David Arthur Jenson) (CRD: 1333734, Amarillo, Texas). Notably, FINRA sanctioned the securities broker, who worked for Great Nation Investment Corporation. Allegedly, Jenson failed to provide information and documents to FINRA. This concerns FINRA's investigation into possible FINRA rule violations pertaining to […]