IAA, Chelsea Clients File Suitability Disputes Involving Broker Charles Bloom Soreide Law Group comes to you with new information relating to securities broker Charles Lewis Bloom (CRD#: 4144108, Royal Palm Beach, Florida). It appears that the disclosures involving Bloom concern his employment at securities firms IAA Financial LLC (his employer from 2014 to 2015), International […]

Securities Broker Charles Bonilla Allegedly Makes Unsuitable Recommendations To David Lerner Client FINRA provides important information on securities broker Charles Abad Santos Bonilla (CRD#: 2572107, Boca Raton, Florida). Evidently, Bonilla worked as a securities broker or financial advisor for Pruco Securities from May 2018 to February 2019. Also, he worked for David Lerner Associates Inc. […]

Campfire Capital Client Alleges Damages In Dispute About Broker Sean McDevitt Soreide Law Group is examining investor claims concerning securities broker Sean Daniel McDevitt (CRD#: 2786216, Chappaqua, New York), as disclosed on FINRA BrokerCheck. Evidently, McDevitt worked as a securities broker or financial advisor for WoodRock Securities from 2015 to 2016. Also, he worked for […]

Transamerica Client Files Dispute Involving Barred Securities Broker Mark Smith The Financial Industry Regulatory Authority (FINRA) provides important information in regard to the disclosures of securities broker Mark Smith (CRD#: 5776360, Greenwood Village, Colorado). This includes a FINRA bar and an investor dispute concerning his employment at Transamerica Financial Advisors (his employer from January 2012 […]

Broker David Stateman Barred And Subject Of Client Dispute Soreide Law Group has new information to share with you in regard to securities broker David Alan Stateman (CRD#: 5530638, Miami, Florida). It appears that FINRA indefinitely barred Stateman as a securities broker. Not only that, but Stateman is involved in an investor dispute that alleges […]

Securities Broker Wil Rodriguez Involved In Wells Fargo Client's Dispute About Alleged Unauthorized Transactions Soreide Law Group comes to you with new information concerning Wells Fargo securities broker Rodriguez AKA “Wil Rodriquez” and “Wilfredo Rodriguez Jr.” (CRD# 2504369, Boca Raton, Florida). The Financial Industry Regulatory Authority (FINRA) BrokerCheck profile on Rodriguez shows that two investors […]

Broker Steven Maher Sanctioned, Involved In Investor Dispute Financial Industry Regulatory Authority (FINRA) discloses through BrokerCheck that it sanctioned securities broker Steven Maher (CRD#: 1011535, Oradell, New Jersey) and that an investor disputed Maher’s sales practices. Evidently, Maher worked for securities firms American General Securities Incorporated, Sagepoint Financial, and Next Financial Group. He joined American […]

Securities Broker Wills Henriquez Sanctioned And Involved In Investor Disputes Soreide Law Group comes to you with new information regarding securities broker Henriquez (CRD#: 1872198, Brooklyn, New York). Wills Schneider Henriquez worked for Network 1 Financial Securities from 2013 to 2018. During that time, Henriquez worked with a client who later complained. Other disputes on […]

Investor Brings Dispute About Securities Broker Hal Schwartz's Investment Strategy The Financial Industry Regulatory Authority (FINRA) contains important investor-related information concerning securities broker Harold Alan “Hal” Schwartz (CRD#: 841225, Winter Springs, Florida). Namely, the securities broker is involved in three investor disputes. Clients allege sales practice violations at Leaders Group or Royal Alliance. It also […]