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 […]

Broker Laurence Torres Faces Sanctions, Investor Lawsuits Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck contains 11 critical disclosures concerning securities broker Laurence "Larry" Michael Torres (CRD#: 2821373, Staten Island, New York). Among them are FINRA and SEC sanctions which effectively prevent Torres, who worked for First Standard Financial Company LLC and Alexander Capital […]

FINRA Bars Charles Euler For Refusing To Testify Investor alert! Financial Industry Regulatory Authority (“FINRA”) BrokerCheck reports 8 disclosures on the record of financial advisor Charles J. Euler (CRD#: 202696, Radnor, Pennsylvania). Notably, the securities broker is highlighted in at least seven disputes alleging sales practice violations. On top of that, FINRA barred Euler because […]

Broker Jeffrey Broten Barred For Refusing To Comply With Investigators The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of sales practice violations by securities broker Jeffrey A. Broten (CRD#: 1006678, Morristown, New Jersey). Broten has worked for National Securities Corporation, First Standard Financial Company and Newbridge Securities Corp. Recently, FINRA barred Broten as a […]

Broker Joshua Turney Is Expelled By SEC, FINRA Investor Alert! The Securities and Exchange Commission (SEC) is the latest regulator to bar securities broker Joshua W. Turney (CRD#: 4510219, San Diego, California), who most recently worked for Global Arena Capital Corp. Also, 11 of Turney’s clients contested his sales practices. Here’s more on the incidents […]

Concorde Broker Robert Smith Allegedly Sold Bad GPB Investments Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Robert Scott Smith (CRD#: 1412333, Newberg, Oregon). Evidently, Smith worked for securities firm Concorde Investment Services LLC from 2011 to 2020. Namely, clients indicate that Smith might have caused their […]