FINRA sanctioned securities broker Lester Joel Hochler [CRD: 3209012, McDonough, Georgia], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Hochler worked for Cape Securities Inc. from March 17, 2016, to April 14, 2026, and joined American Global Wealth Management Inc. on December 5, 2019. He was also associated with G.F. […]

Investors might have sustained losses due to securities broker William Samuel Morris (also known as Bill Morris) [CRD: 1793507, Green Bay, Wisconsin], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Morris worked for Cape Securities Inc. from April 21, 2020, to February 25, 2026, and Cape Investment Advisory Inc. from April 6, […]

Investors potentially experienced sales practice violations by securities broker Charles Robert Cobb [CRD: 1505020, Lynchburg, Virginia], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Cobb worked for Newbridge Securities Corporation from September 7, 2017, to May 31, 2022. See below to learn more about disclosures involving Cobb and allegations referenced in FINRA […]

Investors have reportedly disputed the sales practices of securities broker Dennis Clarence Twarogowski [CRD: 1033169, Parma, Ohio], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Dennis Twarogowski worked for Independence Capital Co. Inc. as a securities broker beginning on February 3, 2005, and as a financial advisor beginning on February 7, 2005. Keep […]

Investors potentially incurred losses because of securities broker Paul Wesley Witthauer [CRD: 1672263, Jamestown, North Dakota], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Witthauer worked for G. A. Repple Company beginning December 1, 2017, and later became registered as a financial advisor with the same firm on October 28, 2019. Read on […]

Soreide Law Group has been contacted by an investor experiencing losses in GWG L Bonds, due to the alleged recommendation of broker/investment advisor, THOMAS CAINE SHULTZ (THOMAS SHULTZ, THOMAS C SHULTZ).  Shultz is currently registered both as a broker and investment advisor with REALTA EQUITIES, INC of Phoenix, Arizona since 7/25/2023.  He was previously registered with […]

Soreide Law Group was contacted by an investor who experienced losses in Versity Investments DSTs (Delaware Statutory Trusts) allegedly due to the recommendation of former EMERSON EQUITY LLC of Menomonee Falls, Wisconsin, broker/investment advisor, JEFFREY DONALD NOARD (JEFFREY D NOARD). Before Emerson Equity, Noard was registered with CABOT LODGE SECURITIES LLC of Menomonee Falls, Wisconsin, […]

Investors might have sustained losses due to securities broker William Samuel Morris (also known as Bill Morris) [CRD: 1793507, Green Bay, Wisconsin], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Morris worked for KCD Financial Inc. from February 5, 2026, to the present and previously worked for Cape Securities Inc. from […]

Investors apparently complained about securities broker Brittany Danielle Slater-Gautreau (also known as Tany Gautreau and Tany Slater) [CRD: 4885737, Overland Park, Kansas], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Brittany Slater-Gautreau worked for Westpark Capital Inc. from November 20, 2017, to October 30, 2020, American Trust Investment Services Inc. from […]