Broker Ed Matthes Reportedly Pleads Guilty To Wire Fraud The investment loss recovery team at Soreide Law Group brings you this Investor Alert in regard to barred securities broker Edward “Ed” Earl Matthes (CRD#: 2788055, Oconomowoc, Wisconsin). Evidently, Matthes worked for securities firms including Thrivent Investment Management and Mutual of Omaha Investor Services. Notably, Matthes […]

Berthel Fisher Clients Indicate That Broker Farrukh Kazmi Sold Bad Alternative Investments The investment loss recovery team at Soreide Law Group provides you with this Investor Alert regarding Farrukh Shazad Kazmi (CRD#: 2855915, Moorestown, New Jersey). Evidently, this securities broker joined Berthel Fisher & Company (“Berthel Fisher”) in January 2010. Notably, FINRA BrokerCheck shows that […]

Broker Michael Shillin Under FINRA Investigation Soreide Law Group is reviewing possible investor lawsuits against securities broker Michael Francis Shillin (CRD#: 5927156, Altoona, WI). Notably, on November 20, 2020, FINRA initiated an investigation into the broker, who worked for securities firms Alliance Global Partners (AGP) from 2018 to 2020 and Raymond James from 2014 to […]

Broker Joe Hede Charged By SEC In Connection With Sham Belize Fund Investments Investor Alert! The United States Securities and Exchange Commission charged securities broker Minish Joe Hede (CRD: 2389098, New York, New York) with violating securities laws on what the Commission claims to be a sham investment in Belize Fund. Not only that, but […]

Barred Broker Thomas Marino Sanctioned Again By FINRA Investor Alert! FINRA barred securities broker Thomas John Marino (CRD#: 4438533, Lake Worth Beach, Florida). Not only that, but the securities broker, who worked for firms JW Cole Financial and RM Stark, is involved in at least three investor disputes. These disclosures contain allegations that Marino sold […]

FINRA Issues Suspension To Timothy O'Brien For Trading Infraction Soreide Law Group is reviewing possible investor lawsuits against Feltl securities broker Timothy David O’Brien (CRD#: 1182298, Inver Grove Heights, MN). Notably, FINRA BrokerCheck shows that of the 14 disclosures about O’Brien, at least six concern investor disputes and two concern regulatory actions. Both of those […]

Broker Fred Brown Faces Regulatory Action, Disputes Over Borrowing Money From Clients Soreide Law Group is reviewing possible investor claims relating to securities broker Fred Ronald Brown (CRD#: 1175385, Montgomery, Alabama). Notably, the securities broker, who worked for Merrill Lynch from 2012 to 2017 in various capacities, faced a suspension and fine from FINRA for […]

Broker Bill Hightower Barred By SEC And Faces Investor Lawsuits The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker William Andrew Hightower who is known as Bill Hightower (CRD#: 2152369, Houston, Texas). It is not commonplace for brokers to have 12 disclosures on their BrokerCheck record like Hightower has. Namely, […]

New Jersey Bars Robert Merlo For Fraud Conviction New Jersey Bureau of Securities barred prior Allstate Financial Services securities broker Robert Merlo (CRD#: 1608409, Midland Park, New Jersey) for theft and fraudulent practices. Not only that, but Financial Industry Regulatory Authority (“FINRA”) also barred Merlo from the securities industry. Here’s a closer look at the […]