Soreide Law Group is investigating possible investor claims against securities broker Barbaraann Bernatzky AKA Barbara Ann Bernatzky and Barbara Ann Washeim [CRD#: 2535421, Shoreham, NY]. Notably, FINRA sanctioned the securities broker, who worked for Henley Company. Allegedly, Bernatzky failed to testify when FINRA investigated the stockbroker for possible violations of FINRA rules. Here is a […]

Securities Broker Corey White Involved In Western International Securities Client Dispute About Supervision The Financial Industry Regulatory Authority (FINRA) contains important information regarding securities broker Corey Andrew White (CRD#: 4537015, Pasadena, California). Evidently, White was a financial advisor and securities broker with Financial West Group from 2002 to 2017. He joined Western International Securities in […]

FINRA Issues Suspension To Westpark's Richard Rappaport FINRA BrokerCheck indicates that investors alleged sales practice violations involving securities broker Richard Alyn Rappaport “Rick Rappaport” (CRD#: 1885122, Los Angeles, California) and that those violations resulted in damages. Evidently, Rappaport has worked as a Westpark Capital securities broker since 2004, most recently as CEO. Take a look […]

Money Concepts Capital Corp Clients Allege Unsuitable Investments By Securities Broker Craig Sutherland Soreide Law Group is reviewing potential investor claims to be brought against securities broker Craig Alan Sutherland (CRD#: 2001873, Columbus, Ohio). Evidently, Sutherland worked for Money Concepts Capital Corp as a securities broker from May 1994 to May 2021. Notably, 10 investors […]

FINRA Sanctions McNally Financial For Failing To Supervise NT-ETPs, Options Trading FINRA sanctioned McNally Financial Services Corporation (CRD#: 121196, San Antonio, Texas). Notably, the firm violated FINRA rules relating to supervision of non-traditional exchange traded products (NT-ETPs) and options trades. Soreide Law Group provides you with some of the key details about FINRA’s disciplinary action […]

Client Files Dispute About Barred Integrity Broker Joshua Helmle Financial Industry Regulatory Authority (“FINRA”) shows new information on BrokerCheck regarding securities broker Joshua Nathan Helmle (CRD#: 2195760, Monterey Park, California). Specifically, a client filed a dispute alleging sales practice violations. This comes after Integrity Brokerage LLC permitted Helmle to resign and after FINRA indefinitely barred […]

Lek Securities Corporation's Sam Lek Involved In Investor Dispute The Financial Industry Regulatory Authority (“FINRA”) reports a new investor dispute regarding securities broker Samuel Frederik Lek (CRD#: 1642936, New York, New York). It appears that two investor disputes have been filed against the securities broker since March 2019. Not only that, but securities regulators have […]

Wells Fargo Clients File Disputes About Broker Jeffrey Burton Financial Industry Regulatory Authority (FINRA) BrokerCheck has released new information in regard to securities broker Jeffrey Lamar Burton (CRD#: 2366552, Charleston, South Carolina). Notably, six investors filed disputes in regard to Burton, who worked for securities firms UBS Financial Services (2000 to 2016) and Wells Fargo […]

Investors, Regulators File Lawsuits Regarding Securities Broker Jonah Engler The Financial Industry Regulatory Authority (“FINRA”) confirms through BrokerCheck that 16 investors challenged the sales practices of securities broker Jonah Engler (CRD#: 4216259, New York, New York). Evidently, these investor disputes contain allegations of Engler making unsuitable and unauthorized trades in client accounts. Moreover, BrokerCheck shows […]