Primex's Wilfredo Felix Is Barred By FINRA, Found Liable In Investor Dispute Soreide Law Group is evaluating possible investor claims to be brought against former Primex securities broker Wilfredo Felix Jr. (CRD#: 2693672, New York, New York). Notably, his FINRA BrokerCheck report contains alarming disclosures. This includes FINRA’s decision to bar Felix for seemingly impeding […]

Broker Cubby Bice Supposedly Recommended Bad Private Placements Investor Alert! FINRA reports that investors have disputed the sales practices of Sagepoint Financial’s Christopher “Cubby” R. Bice (CRD#: 3222439, Greensboro, North Carolina). Apparently, Bice – who has been with Sagepoint as a securities broker and financial advisor since 2005 – might have sold unsuitable securities to […]

Investors, Regulators Take Action Against David Khezri The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of misconduct against securities broker David Khezri (CRD#: 2736831, Hauppauge, New York). Namely, the securities broker, who currently works in Network 1 Financial Securities’ Hauppauge offices (2010 – present) and who also worked for Worden Capital Management (2017 – […]

IFG, Berthel Clients File Disputes About Shawn Davis' Alternative Investment Sales Soreide Law Group is looking into potential investor disputes against securities broker Shawn Bruce Davis [CRD#: 2911230, Auburn, California]. Notably, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that at least 10 clients took issue with the broker, who worked for Independent Financial Group, Berthel […]

Legend Securities Broker Michael Stanton Allegedly Failed To Supervise, Breached Fiduciary Duty Soreide Law Group is investigating potential investor claims involving securities broker Michael Salvatore Stanton [CRD#: 1448072, New York, New York]. Notably, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck reports that the securities broker, who was a branch office manager for Legend Securities Corp. from […]

WILLIE VALES Allegedly Sold Unsuitable Investments The Financial Industry Regulatory Authority (“FINRA”) confirms on BrokerCheck that investors have disputed the sales practices of Santander Securities LLC securities broker Willie Vales (CRD#: 2166601, Conshohocken, Pennsylvania). Namely, at least three clients of Santander Securities LLC, who Vales worked for from 2014 to 2016, filed disputes which suggest […]

STEVEN ROLAND KNUTTILA (STEVEN KNUTTILA) CRD#: 3039112 According to FINRA’s BrokerCheck, Steven Knutilla, a Perham, Minnesota broker with Capital Financial Services, Inc., has 21 Disclosures on his report, with 20 listed as “Customer Disputes.”  Of the cases pending, the clients are alleging, among other things, unsuitable sales and recommendations of alternative investments, poor investment advice, […]

Soreide Law Group is currently investigating, on behalf of our clients, NEXT FINANCIAL GROUP, INC. based in Houston, TX, and their former registered representative in Frisco, TX, TYE CALVIN WILLIAMS CRD#: 1271046. FINRA has barred Tye Williams from acting as a broker or otherwise associating with firms that sell securities to the public. In September […]