American Portfolios' Gary Forrest Sold Woodbridge Securities, According To FINRA Soreide Law Group is reviewing potential investor disputes regarding alleged sales practice violations by broker Gary Arthur Forrest (CRD#: 1313782, Flint, Michigan). Apparently, two of Forrest’s clients at American Portfolios Financial Services brought claims regarding his sales practices. These disputes suggest that Forrest made deceptive […]

Morgan Stanley Customers Dispute Broker David Kraft's Sales Practices Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) discloses troubling updates regarding securities broker David Kraft (CRD#: 2356400, Palm Beach Gardens, Florida). Evidently, at least five investors filed disputes regarding the sales practices of the securities broker, who worked for Morgan Stanley between 2012 and 2019. […]

Salomon Whitney Clients Bring Lawsuits Regarding Broker Shawn Burns' Trading Practices Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming information in regard to securities broker Shawn Evan Burns [CRD#: 3138114, Farmingdale, New York]. Namely, at least 24 clients have complained about the securities broker, who worked for Salomon Whitney Financial between 2014 and […]

Broker Jim Schwartz Allegedly Made Unauthorized, Unsuitable Transactions Causing Losses To Clients Soreide Law Group is reviewing potential investor claims against Joseph Gunnar broker James “Jim” Bradley Schwartz (CRD#: 3043085, New York, New York). Apparently, FINRA BrokerCheck reports that the securities broker, who worked for Joseph Gunnar (2016-2017), First Standard Financial Company (2016) and Aegis […]

Great American Investors Clients Allegedly Receive Bad Advice From Broker Bill Baum Soreide Law Group is looking into potential investor disputes against securities broker William “Bill” Baum [CRD#: 1528847, Overland Park, Kansas]. Apparently, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that at least 8 clients took issue with the securities broker, who joined Great American […]

Ameritas Clients Indicate Tommy Lawrence Misrepresented Investments Soreide Law Group is investigating potential investor claims of bad business practices by securities broker Thomas “Tommy” H. Lawrence III [CRD#: 1839619, Chapel Hill, Tennessee]. Notably, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck reports that 3 clients contested the securities recommendations or sales of the securities broker, who worked […]

Broker Roger Owens Allegedly Deceived Investors Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming information in regard to securities broker Roger Lee Owens [CRD#: 2359204, Elkton, Maryland]. Notably, at least 4 clients filed formal disputes about the securities broker, who worked for Cetera Advisors between 2007 and 2019. Also, FINRA issued him a […]

New Jersey Bureau Of Securities Revokes Ramon Herrera's Securities Agent, Investment Adviser Representative Registration Following FINRA Bar Soreide Law Group is investigating potential investor claims of bad business practices by securities broker Ramon Herrera [CRD#: 6021170, Jersey City, New Jersey]. Notably, New Jersey Bureau of Securities and Financial Industry Regulatory Authority (“FINRA”) imposed serious sanctions […]

Broker Jon Lake Suspended By FINRA, Terminated By Wells Fargo Soreide Law Group is reviewing possible investor claims against securities broker Jonathan R. Lake [CRD#: 1385504, Westport, Connecticut]. Apparently, FINRA suspended the securities broker from November 11, 2019 to March 11, 2020. Not only that, but Wells Fargo Clearing Services terminated him and his clients […]