The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Andrew Elsoffer AKA Andrew Bruce Elsoffer [CRD#: 2580009, Pepper Pike, OH]. Evidently, investors disputed the sales practices of the securities broker, who worked for Stifel Nicolaus Company. Additionally, the securities broker discloses a regulatory enforcement action. However, Elsoffer denies the allegations of sales […]

Investors have come forward with complaints about securities broker Gary Begnaud [CRD#: 865927, Mt. Laurel, NJ]. Evidently, the securities broker, who worked for Merrill Lynch Pierce Fenner Smith, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Merrill Lynch Pierce Fenner Smith clients allege that Begnaud made unauthorized transactions. For more on these […]

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 John Sebastion Cangialosi [CRD#: 3273830, New York, NY]. Cangialosi worked for (1) S.W. Financial from 2019 to 2022; (2) Worden Capital Management LLC from 2016 to 2019; and (3) Legend Securities Inc. from 2013 to 2016. Evidently, one or more […]

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 […]