Soreide Law Group is investigating possible investor claims against securities broker David Allen Maute [CRD: 4307126, Springfield, Ohio]. Notably, FINRA sanctioned the securities broker, who worked for Allstate Financial Services LLC. Allegedly, Maute failed to provide information and documents to FINRA when it investigated possible violations of FINRA rules. Here is a brief summary of […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Paul Vavrinchik [CRD#: 5505145, Deerfield, IL]. However, Vavrinchik denies the allegations. Read on to learn more about the allegations against Vavrinchik. FINRA Sanctions U.S. Bancorp Investments Securities Broker For Failure To Provide Information Evidently, on May 31, 2022, FINRA issued Case #: 2021073523801 […]

Soreide Law Group is investigating possible investor claims against securities broker Kaival Patel AKA Kaival Patel [CRD#: 4470522, Hackensack, NJ]. Notably, New Jersey Bureau Securities sanctioned the securities broker, who worked for Stifel Nicolaus Company. Allegedly, Patel was sanctioned because he was barred by FINRA. Here is a brief summary New Jersey Bureau Securities’ allegations […]

Soreide Law Group is investigating possible investor claims against securities broker Tarik Nehmatullah AKA Tarik Nehmatullah [CRD#: 6336491, Westminster, CO]. Notably, FINRA sanctioned the securities broker, who worked for Key Investment Services LLC. Allegedly, Nehmatullah failed to provide information and documents to FINRA when it investigated possible violations of FINRA rules. Here is a brief […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Igor Kislitsa AKA Igor Peter Kislitsa [CRD#: 6324794, Citrus Heights, CA]. Evidently, investors disputed the sales practices of the securities broker, who worked for PFS Investments. Additionally, the securities broker discloses a regulatory enforcement action. Notably, these disclosures allege Kislitsa engaged in sales […]

Soreide Law Group is investigating possible investor claims against securities broker Ann Box AKA Annetta Marie Box Taylor and Annetta Marie Taylor [CRD#: 1662151, Dallas, 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 possible violations of […]

Soreide Law Group is investigating possible investor claims against securities broker Jesus Alvidrez AKA Jesus Jose Alvidrez [CRD#: 6414709, Brea, CA]. Evidently, FINRA sanctioned the securities broker, who worked for Transamerica Financial Advisors. Allegedly, Alvidrez failed to provide information and documents to FINRA when it investigated possible violations of FINRA rules. Here is a brief […]

The Financial Industry Regulatory Authority (FINRA) reports allegations of sales practice violations by securities broker Steven Kiyoto Hirata [CRD #: 1188927, Fresno, CA]. Hirata worked for PFS Investments Inc. from 2010-2021 and PFS Investments Inc. from 1984-2009. Notably, FINRA barred the securities broker. Read on to learn more about the allegations against him. FINRA Sanctions […]

The Financial Industry Regulatory Authority (FINRA) barred securities broker John Scott Winslow [CRD #: 3071933, Gig Harbor, WA]. Winslow worked for Edward Jones from 2013-2021; Union Banc Investment Services LLC from 2011-2013; and Key Investment Services LLC from 2006-2011. Evidently, one or more investors also disputed the sales practices of the securities broker. However, Winslow […]