Soreide Law Group is investigating possible investor claims against securities broker David Hixon (also known as David Thomas Hixon) [CRD: 4707468, Scottsdale, AZ]. Notably, FINRA sanctioned the securities broker, who worked for Morgan Stanley. Allegedly, Hixon failed to provide information and documents to FINRA when it investigated potential FINRA rule infractions. Here is a brief […]

Soreide Law Group is investigating possible investor claims against securities broker Dave McDonnell (also known as David Robert McDonnell) [CRD: 1757401, Laguna Beach, CA]. Notably, FINRA sanctioned the securities broker, who worked for TCFG Wealth Management LLC. Allegedly, McDonnell failed to provide information and documents to FINRA when it investigated potential FINRA rule infractions. Here […]

Soreide Law Group is investigating possible investor claims against securities broker Corrie Box (also known as Corrie Ann Mitchell) [CRD: 7221410, San Antonio, TX]. Evidently, FINRA sanctioned the securities broker, who worked for Cambridge Investment Research Inc. Allegedly, Box failed to provide information and documents to FINRA when it investigated potential FINRA rule infractions. Here […]

Soreide Law Group is investigating possible investor claims against securities broker Wade Thomason (also known as Carl Wade Thomason) [CRD: 2100429, Overland Park, KS]. Notably, FINRA sanctioned the securities broker, who worked for OFG Financial Services Inc. Allegedly, Thomason failed to testify when FINRA investigated the securities broker for potential FINRA rule infractions. Here is […]

Soreide Law Group is investigating possible investor claims against securities broker Amy Cash (also known as Amy Marjorie O'Brien) [CRD: 5765481, Fort Mill, SC]. Evidently, FINRA sanctioned the securities broker, who worked for LPL Financial LLC. Namely, Cash failed to provide information and documents to FINRA when it investigated potential FINRA rule infractions. Amy Cash […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Doug McKelvey (also known as Doug Marshall McKelvey) (CRD:  4502849, Southlake, TX). Evidently, investors disputed the sales practices of the securities broker, who worked for Morgan Stanley Smith Barney LLC. Additionally, the securities broker discloses a regulatory enforcement action. However, McKelvey denies the […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Amanda Yvonne Berry (also known as Amanda Yvonne Coleman) (CRD:  5651609, Oklahoma City, OK). Evidently, investors disputed the sales practices of the securities broker, who worked for MML Investors Services LLC. Additionally, the securities broker discloses a regulatory enforcement action. However, Berry denies […]

Soreide Law Group is investigating possible investor claims against securities broker Timothy Williams [CRD: 6341465, Tucson, Arizona]. Notably, FINRA sanctioned the securities broker, who worked for Edward Jones. Allegedly, Williams failed to respond to FINRA’s request for information. Here is a brief summary of FINRA’s allegations against Williams. Williams Barred By FINRA For Failure To […]

Soreide Law Group is investigating possible investor claims against securities broker Edric Michael McSween [CRD: 2080810, Naples, Florida]. Notably, FINRA sanctioned the securities broker, who worked for Ameriprise Financial Services LLC. Allegedly, McSween failed to provide information and documents to FINRA when it investigated possible violations of FINRA rules. Here is a brief summary of […]