Investors apparently complained about securities broker Raymond Wyman Chow [CRD: 2860124, Elk Grove, California], according to disclosures on FINRA BrokerCheck. Chow joined Wedbush Securities Inc. in Elk Grove, California, as both a securities broker and financial advisor on March 20, 2008. Below, you can learn more about the disclosures involving Raymond Chow. Wedbush Securities Client […]

Soreide Law Group is investigating potential claims on behalf of investors who may have experienced financial losses due to the actions of securities broker Eric William Davidson [CRD#: 2731195, Portland, Oregon]. He has been registered with Aegis Capital Corp. since July 2, 2015. Previously, he was affiliated with Paulson Investment Company Inc. Among the concerns […]

Soreide Law Group is looking into possible investor claims against securities broker Scott Curtis Wilson (CRD: 861144, New York, New York). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Morgan Stanley. Evidently, investors allege sales practice violations in these disputes, including that […]

Soreide Law Group (888-760-6552) obtained the following information from FINRA’s June 2017 Disciplinary Report:  Mid Atlantic Capital Corporation (CRD #10674, Pittsburgh, Pennsylvania)  was censured and fined $100,000 by FINRA for allegedly failing to adequately supervise the private securities transactions of their two registered representatives. FINRA’s findings stated that at the time of their association with […]

James Emory Poe (CRD #5085362, Benbrook, Texas) was assessed a deferred fine of $775,000, which included the disgorgement of financial benefits received of $686,230, plus interest, and was suspended by FINRA for two years for alleged failure to provide prior written notice to or receive written approval from his member firm regarding his roles with […]

On December 10, 2014, the SEC filed civil fraud charges against TIMOTHY S. DEMBSKI and WALTER F. GRENDA JR., from the Buffalo area and their company, Reliance Financial Advisors. According to the SEC, financial advisor, Timothy S. Dembski, allegedly lost nearly $4 million of his client’s money through investing it in a hedge fund. His […]

Soreide Law Group, (888) 760-6552, has obtained the following summation of information from FINRA’s website, under “Disciplinary and Other FINRA Actions, September, 2014.” Dean Sadrudin Mustaphalli (CRD #2792038, Commack, New York) has been named a respondent in a FINRA complaint. This complaint alleges that over a six-month period, Dean S. Mustaphalli formed and acted as […]

Fort Lauderdale, Florida, based Soreide Law Group, (888) 760-6552, has obtained the following summary of information from FINRA’s website, under “Disciplinary and Other FINRA Actions, July, 2014.” Kevin Anthony Tuttle (CRD #2414158, Orlando, Florida) was fined $50,000 and suspended by FINRA for two years. Tuttle, as an outside business activity, obtained permission from his firm […]

Fort Lauderdale-based Soreide Law Group, (888) 760-6552, has obtained the following summation of information from FINRA’s website, under “Disciplinary and Other FINRA Actions, July, 2014.” John Warren DuBrule (CRD #1223724, Orlando, Florida) was barred by FINRA for allegedly engaging in securities fraud by the distribution of quarterly statements containing false information about the valuation of […]