ATTENTION INVESTORS: Losses from Cetera Broker CLARA TANG? Soreide Law Group is reviewing possible investor claims against Cetera Investment Services LLC securities broker Clara Tang (CRD#: 4852979, Cupertino, California). Notably, the Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Report for Clara Tang, who worked at Cetera Investment Services from August 2012 to May 2018, shows that […]

INVESTOR ALERT: Misconduct Allegations Against Securities America Brokers THOMAS ABBOUD, KENNETH FOREMAN, ROBERT MITCHELL JR. Securities America, Inc. (CRD#: 10205, Lavista, Nebraska), which is a brokerage firm regulated by FINRA’s Kansas City district office, revealed through FINRA BrokerCheck that several of its brokers allegedly engaged in conduct that could have both run afoul of FINRA […]

Royal Alliance Associates’ Kimberly Pine Kitts Defrauded Investors Kimberly Pine Kitts (CRD#: 2768200, Orleans, Massachusetts), who is past Royal Alliance Associates, Inc. investment adviser representative, pleaded guilty to a United States Attorney for the District of Massachusetts’ criminal charges including investment adviser fraud, wire fraud and identify theft. Kitts admitted to her role in defrauding […]

Soreide Law Group recently obtained the following summary of information from FINRA's Website under "Disciplinary and Other Actions, November 2014." William Brian Mulder (CRD #1474998, Tulsa, Oklahoma) was barred by FINRA for failure to provide FINRA with documents and information. FINRA's findings stated that their requests for information were related to their investigation into the […]