The Financial Industry Regulatory Authority (FINRA) reports allegations of sales practice violations by securities broker Francisco Javier Valenzuela [CRD #: 2786970, Tucson, AZ]. Valenzuela worked for Morgan Stanley from 2015-2018; (2) Merrill Lynch Pierce Fenner & Smith from 2010-2015; and (3) Chase Investment Services Corp from 2005-2010. Evidently, a Morgan Stanley investor disputed Valenzuela’s sales […]

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 […]

Soreide Law Group comes to you with important information regarding William Forrest Winchester AKA Bill Woods [CRD #: 4404327, Chattanooga, TN]. Woods worked for (1) Cadaret, Grant, & Co from 2020-2021; (2) Raymond James Financial Services from 2012-2020; and (3) LPL Financial LLC from 2007-2012. Evidently, the securities broker discloses one or more investor disputes […]

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 […]

The Financial Industry Regulatory Authority (FINRA) reports allegations of sales practice violations by securities broker Nikolay Zotenko [CRD #: 6334022, Beverly Hills, CA]. Zotenko worked for Morgan Stanley from 2015-2021. Notably, FINRA sanctioned the securities broker. However, Zotenko denies the allegations. Read the following summary of the FINRA enforcement action to learn more about the […]

Soreide Law Group is investigating possible investor claims against securities broker Megurditch Mike Patatian [CRD#: 4047060, Westlake Village, CA]. Patatian worked for (1) Supreme Alliance LLC from 2020-2021; (2) Western International Securities from 2013-2020; and (3) CUSO Financial Services LP from 2004-2013. Specifically, Financial Industry Regulatory Authority (FINRA) aims to bar Good as a securities […]

Soreide Law Group is investigating possible investor claims against securities broker Paul Ronald Koch [CRD#: 1777599, Wayzata, Minnesota]. Evidently, FINRA sanctioned the securities broker, who worked for UBS Financial Services. Notably, FINRA's accusations against the securities broker include failure to cooperate in an investigation. Also, investors allege sales practice violations by Koch. Here is a […]

FINRA reports important information regarding securities broker Roger Allan Duval [CRD#: 2503718, Bellevue, Washington]. Not only has FINRA sanctioned Duval, but one or more investors disputed the sales practices of the securities broker at Pruco Securities and MML Investors Services. However, Duval denies the allegations. Read on to learn more. FINRA Bars Duval For Conversion […]

Soreide Law Group comes to you with new information regarding securities broker Neil David Berlant (CRD#: 19550, Los Angeles, California). Namely, FINRA sanctioned the securities broker, who worked for D.A. Davidson & Co. (DADCO) between November 2013 and June 2020. Also, his employer discharged him in May 2020, and a client complained about his sales […]