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October 26, 2024
Christopher Reynolds Facing Allegations of Forgery and Misconduct

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Christopher Barrett Reynolds [CRD: 5976029, Canonsburg, Pennsylvania]. Reynolds worked for Pruco Securities LLC from September 2, 2021, to January 24, 2023, and Wesbanco Securities Inc. from May 5, 2017, to March 5, 2021. Recent client disputes and regulatory actions about Reynolds involve allegations of […]

August 1, 2024
Michael Gravelyn In Northwestern Mutual Investor Complaints

Investors possibly experienced losses because of securities broker Michael Gerard Gravelyn (also known as Mike Gravelyn) [CRD: 6569005, Grand Rapids, Michigan], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Not only that, but FINRA barred him. Evidently, Michael Gravelyn worked for Northwestern Mutual Investment Services from May 25, 2017, to June 14, 2017, […]

May 13, 2024
Lawrence Waller (SA Stone, Securities America) Facing Client Disputes

Investors might have sustained losses due to securities broker Lawrence William Waller II [CRD: 3232644, Atlanta, Georgia], given the disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Keep reading to learn more about Waller's disclosures. Waller worked for firms including Securities America Inc., WRP Investments Inc., Stonex Securities Inc. (SA Stone Wealth Management Inc.), […]

April 7, 2024
FINRA Suspended Edward Jones’ Lincoln Mason

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Lincoln Lucas Mason [CRD: 7057393, Arnolds Park, Iowa], given the disclosures on FINRA BrokerCheck. Evidently, Mason worked for Edward Jones from March 29, 2019, to December 23, 2021. Continue reading to learn more about Mason's disclosures. FINRA Sanctions […]

March 13, 2024
Timothy Campbell Terminated, Involved In MML Client Dispute

Investors potentially experienced investment losses through securities broker Timothy Brian Campbell (also known as Tim Campbell) [CRD: 3046265, Corinth, Mississippi], according to disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Campbell worked for MML Investors Services LLC from September 4, 2015, to August 11, 2023. He currently works for Newbridge Securities Corporation and […]

March 11, 2024
Robert Golding Expelled By FINRA

Investors might have sustained losses due to securities broker Robert L. Golding (also known as Rob Golding) [CRD: 5324763, Alpena, Michigan], according to disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Particularly, Golding worked for Pruco Securities LLC from February 8, 2018, to September 12, 2022. Here’s more. FINRA Sanctioned Golding For Refusal To […]

February 24, 2024
SEC Brings Misappropriation Charges Against Jesus Rodriguez

Soreide Law Group is looking into possible investor claims on behalf of those who incurred losses through Jesus Rodriguez [CRD: 4888685, El Paso, Texas]. Rodriguez was previously registered as both a financial adviser and a securities broker, with past affiliations including Morgan Stanley in El Paso, Texas, where he was registered from June 1, 2009, […]

November 26, 2023
Investigation Alert: Roderick Whited

Soreide Law Group is currently investigating potential claims on behalf of investors who have suffered losses due to the actions of securities broker Roderick Len Whited (also known as Rod Whited) [CRD: 2663822, Gainesville, Florida]. Whited, previously registered as both a broker and investment adviser. He was affiliated with Intercarolina Financial Services Inc. from October […]

September 30, 2023
FINRA Issues Fine To James Garraway

Soreide Law Group is currently investigating potential claims on behalf of investors who have incurred losses due to James Floyd Garraway III (also known as Trey Garraway) (CRD: 7132872, Hattiesburg, Mississippi). Garraway worked for Thrivent Investment Management Inc. from November 15, 2019, to January 12, 2022. Specifically, FINRA sanctioned him for alleged forgery and record-keeping […]

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