TIMOTHY PROUTY Cause You Investment Losses? Soreide Law Group is evaluating possible claims of suitability, misrepresentation and other sales practice violations against Morgan Stanley Smith Barney securities broker, Timothy Prouty (CRD#: 4928098, Albuquerque, New Mexico). The Financial Industry Regulatory Authority (“FINRA”) shows on Prouty’s FINRA BrokerCheck Report that an investor successfully sued Morgan Stanley over […]

On August 10, 2017, the Financial Industry Regulatory Authority Inc. (FINRA) announced that it has fined FSC Securities Corp., $100,000 and ordered a $492,000 payment to clients for FSC's alleged failure to reasonably supervise leveraged ETFs from January of 2009 through September of 2014. FSC Securities Corp, is one of the Advisor Group’s broker/dealers.  Several […]