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 […]

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 […]