Cetera's Ken Balser Allegedly Sells Bad Tesoro Del Alma Investments The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of misconduct by securities broker Ken Balser (CRD#: 704053, Colorado Springs, Colorado). The former Cetera Advisors securities broker, who the firm disaffiliated with for private securities transactions, has been involved in four disputes and a pair […]

Barred Cadaret Grant Broker Gerald Dewes Possibly Caused Investor Losses Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Reports shows that 5 investors brought disputes about securities broker Gerald R. Dewes (CRD#: 2465538, East Amherst, New York). Supposedly, Dewes made unsuitable investment recommendations to Cadaret Grant clients. Not only that, but after Cadaret Grant […]

FINRA Moves To Expel Steven Rodemer For Not Testifying About Use Of Client Funds Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) indefinitely barred securities broker Steven Dale Rodemer (CRD#: 830561, Pueblo, Colorado). Notably, the former Stifel Nicolaus securities broker is no longer allowed to associate with FINRA member brokerage firms after refusing to give […]

CUSO Broker JT Coyne Possibly Sold Misrepresented Annuities To Clients Soreide Law Group is reviewing investor claims against CUSO Financial Services securities broker Gerald Thomas “JT” Coyne (CRD#: 4589061, Harrisburg, Pennsylvania). Namely, the Financial Industry Regulatory Authority (“FINRA”) barred Coyne as a securities broker on December 10, 2019. It appears that Coyne stonewalled the financial […]

Broker Mark Hopkins Possibly Sold Bad Investments Soreide Law Group is investigating potential investor claims of sales practice violations by securities broker Mark Lewton Hopkins (CRD#: 2653473, Grand Blanc, Michigan). Notably, Michigan issued Hopkins a $2,500 fine for his concealment of facts when recommending securities to one or more investors. Not only that, but FINRA […]

Broker Jason Wilk Possibly Made Unsuitable Trades Financial Industry Regulatory Authority (“FINRA”) BrokerCheck reveals quite troubling information in regard to securities broker Jason Andrew Wilk (CRD#: 6072438, New York, New York). Evidently, FINRA suspended Wilk as a securities broker between 2019 and 2020 for non-compliance with a request for information. Not only that, but no […]

Broker Terrence Bonk Allegedly Caused Investor Losses Soreide Law Group is reviewing possible investor claims against securities broker Terrence Edward Bonk (CRD#: 1011846, Inter Grove Heights, Minnesota). Namely, the Financial Industry Regulatory Authority (“FINRA”) suspended the prior Feltl & Company securities broker until December 1, 2020 and issued him a $10,000 fine for borrowing money […]

American Capital Partners Clients Indicate That Broker Anthony Vultaggio Sold Bad Private Placements Investor Alert! Soreide Law Group is investigating possible claims of sales practice violations against securities broker Anthony Vultaggio Jr. (CRD#: 5292477, East Meadow, New York). Notably, at least two investors disputed the actions of the securities broker, who worked for American Capital […]

David A. Noyes' Stu Pearl Allegedly Made Unauthorized Margin Transactions The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Stuart “Stu” Pearl (CRD#: 1500833, Indianapolis, Indiana). Namely, no less than 5 clients came forward with disputes about Pearl’s sales practices. Not only that, but FINRA’s suspension and fine against Pearl […]