FINRA reports important information about securities broker Robert Earl Turner Jr. (CRD: 2113736, Waco, Texas). Not only has FINRA sanctioned Turner for engaging in private securities transactions, but investors disputed the sales practices of the securities broker. However, Turner denies the allegations. Read on to learn more about the allegations against Turner. FINRA Sanctions Turner […]

Soreide Law Group has learned of possible investor claims against securities broker Zachary Simpson (CRD: 7158285, Canonsburg, Pennsylvania). Particularly, FINRA sanctioned the securities broker, who worked for Pruco Securities Inc. Allegedly, Torrez committed forgery in violations of FINRA rules. Here is a brief summary of FINRA’s allegations against Torrez. FINRA Sanctions Zachary Simpson For Forgery […]

Soreide Law Group is looking into possible investor claims against securities broker David Shane Simmons (CRD: 4655479, Jefferson, North Carolina). Particularly, FINRA sanctioned the securities broker, who worked for Lincoln Financial Advisors Corporation. Allegedly, Simmons failed to cooperate with FINRA when the regulator investigated him for potentially violating FINRA rules. Here is a brief summary […]

Soreide Law Group is investigating possible investor claims against Timothy Cooney (also known as Tim Cooney) (CRD: 2946727, Warren, Rhode Island). Evidently, FINRA sanctioned the securities broker, who worked for Allstate Financial Services LLC. Allegedly, Cooney failed to provide information to FINRA concerning an undisclosed outside business activity investigation. Here is a brief summary of […]

Soreide Law Group is investigating possible investor claims against Scott Hansen (also known as Scott Richard Hansen) (CRD: 2837763, Moab, Utah). Evidently, FINRA sanctioned the securities broker, who worked for LPL Financial LLC. Allegedly, Hansen engaged in an undisclosed outside business activity. Here is a brief summary of FINRA’s allegations against Hansen. FINRA Sanctions Scott […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Robert Mandau (also known as Bob Mandau) (CRD: 3247517, Willoughby Hills, OH). Not only has FINRA sanctioned Mandau for outside business activities, but investors disputed the sales practices of the securities broker. However, Mandau denies the allegations. Read on to learn more about […]

Soreide Law Group is investigating possible investor claims against Nicholas Radke (also known as Randy Radke Jr.) (CRD: 2610246, Irvine, California). Notably, an Oregon regulator sanctioned the securities broker, who worked for American Independent Securities Group LLC. Allegedly, Radke made misrepresentations and omissions of material fact. Here is a brief summary of the regulatory allegations […]

Soreide Law Group is investigating possible investor claims against Nedjeen Baptiste (also known as Nedjeen Baptiste) (CRD: 6308317, Lantana, Florida). Notably, FINRA sanctioned the securities broker, who worked for J.P. Morgan Securities LLC. Allegedly, Baptiste failed to provide information and documents to FINRA when it investigated possible FINRA rule violations. Here is a brief summary […]

Soreide Law Group is investigating possible investor claims against Lisa Stevenson (also known as Lisa Gastaldo) (CRD: 6191058, New Albany, Ohio). Evidently, FINRA sanctioned the securities broker, who worked for The Huntington Investment Company. Allegedly, Stevenson failed to provide information and documents to FINRA when it investigated possible FINRA rule violations. Here is a brief […]