SEC Bars Richard Cody After He Pleads Guilty To Investment Adviser Fraud Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming information in regard to securities broker Richard Cody [CRD#: 2794558, Spring Lake, New Jersey]. Not only has the Securities and Exchange Commission (“SEC”) and Financial Industry Regulatory Authority (“FINRA”) both barred the securities […]

Securities Service Network Clients Suggest Peter Holler Sold Bad Woodbridge Notes Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of sales practice violations by securities broker Peter Holler [CRD# 838897, Bristol, Tennessee]. Evidently, from 2001 and 2017, he worked for Securities Service Network between, who disaffiliated with him for concealing information about […]

Waddell Reed Clients Indicate Broker Donald Logan Caused Their Losses Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming information in regard to securities broker Donald Logan [CRD#: 5537486, Silverdale, Washington]. Supposedly, at least 5 clients raised serious concerns about the securities broker, who worked for Waddell Reed between 2015 and 2018. Also, the […]

Kovack Investor Suggests Broker Jeffrey Davis Gave Bad Advice Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming allegations of improprieties by securities broker Jeffrey Davis [CRD#: 2501354, Bristol, Connecticut]. Notably, no less than 10 clients contested the securities recommendations or sales of the securities broker, who joined Kovack Securities on November 1, 2013. […]

Broker Margareta Childs Barred For Failing To Comply With FINRA Request Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) shows troubling information in regard to Financial West Group and Western International Securities broker Margareta Childs [CRD#: 1495891, Irvine, California]. Not only has FINRA barred the securities broker for being elusive, but at least 2 clients […]

Broker Chris Kubiak Barred By SEC After Pleading Guilty To Wire Fraud Soreide Law Group is reviewing possible investor claims against securities broker Chris Kubiak [CRD#: 1527367, Brookfield, Wisconsin]. Apparently, the Securities and Exchange Commission (“SEC”) barred the securities broker pursuant to Order 3-19345. Notably, Kubiak pled guilty to at least 1 count of wire […]

RBC Broker Dan Peltier Fined, Suspended For Stock Manipulation Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of sales practice violations by RBC Capital Markets securities broker Dan Peltier [CRD#: 2677761, Stillwater, Minnesota]. Not only has FINRA sanctioned the securities broker, but at least 3 clients disputed his sales practices. Altogether, these […]

RBC Capital Market's Lisa Lowi Allegedly Made Unsuitable Bond Trades Soreide Law Group is reviewing possible investor claims against RBC Capital Markets securities broker Lisa Lowi (CRD#: 1347790, Boca Raton, Florida). Namely, the Financial Industry Regulatory Authority (“FINRA”) reports that 39+ clients brought disputes about her sales practices. Not only that, but FINRA barred Lowi […]

FINRA Suspends Raymond James Broker Michael Hurtgen For Selling Away Investor Alert! Evidently, the Financial Industry Regulatory Authority (“FINRA”) and Wisconsin Office of Commissioner of Insurance have sanctioned securities broker Michael Hurtgen (CRD#: 1742647, Greenwood Village, Colorado). Allegedly, the broker, who worked for Raymond James from 2009 to 2016, engaged in unauthorized private placement activities. […]