Edward Jones Sued By Customers Alleging Suitability, Negligence Soreide Law Group is investigating claims on behalf of those who invested with Edward Jones financial advisors including Joe Alan Green, Krystie Lynn Wear, Edward Hardy Dawkins, Kevin Scott Lake and Regina Sheila Gleghorn. Edward Jones (CRD#: 250, Saint Louis, Minnesota) is a Financial Industry Regulatory Authority […]

Customers Of Morgan Stanley Allegedly Sold Unsuitable Investments Christopher James Butler (CRD #: 1894450, Woodland Hills, California) is presently a Morgan Stanley registered representative. According to Christopher James Butler’s Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Report, his activities have caused customers of Morgan Stanley and Prudential Securities to lodge disputes with their respective firms referencing […]

Customer Files Suit Against First Allied Securities, Patricia Thom Patricia Carol Thom (CRD#: 1192935, San Luis Obispo, California) is a prior registered representative of First Allied Securities, Inc. According to Thom’s Financial Industry Regulatory Authority (“FINRA”) BrokerCheck file, at least twelve customers have contested Thom’s sales practices. Specifically, customers’ claims against Thom, including those summarized […]

Customer Files Suit Against Laidlaw For Churning Account David Michael Murray (CRD#: 1870050, New York, New York) is a prior registered representative of Laidlaw & Company (UK) LTD. According to Murray’s Financial Industry Regulatory Authority (“FINRA”) BrokerCheck profile, his sales practices have been contested by customers on four occasions. The disputes concern customers of Laidlaw […]

FINRA Affirms Bar Of PKS’ Gopi Krishna Vungarala For Fraud Gopi Krishna Vungarala (CRD#: 4856193, Midland, Michigan) has been a registered representative of Purshe Kaplan Sterling Investments from December 13, 2007 to February 21, 2017. Financial Industry Regulatory Authority (“FINRA”) National Adjudicatory Council has issued a Decision #2014042291901 on October 2, 2018 which affirms FINRA’s […]

SEC Files Fraud Charges Against Windsor Street Broker Jovannie Aquino Jovannie Aquino (CRD#: 4876661, New York, New York) is a previous registered representative of Windsor Street Capital, LP (May 29, 2014 to November 17, 2017). The Securities and Exchange Commission (“SEC”) charged Aquino with defrauding Windsor Street Capital investors by way of his excessive trading. […]

Raymond James Sued George Edward Mathis (CRD #4271854, The Villages, Florida) has been a registered representative of Raymond James & Associates, Inc. since November 18, 2011. His activities between January 24, 2014 and September 30, 2016 – a time he was employed by Raymond James – resulted in a customer-initiated investment-related arbitration dated May 2, […]

If you bought Lime Energy (NASDAQ: LIME) between May 13, 2010 and July 17, 2012 you may be able to participate in a potential class action lawsuit. Contact Soreide Law Group at 888-760-6552 for more information.