Soreide Law Group has filed a FINRA arbitration on behalf of their client (Claimant) against, REID & RUDIGER LLC (Respondent). The Claimant, is in his late seventies, and resides in Colorado.  The Claimant brought this action to recover the investment losses due to the alleged actions of REID & RUDIGER. Allegedly, the Respondent implemented an […]

DAVID HOWARD FAGENSON (DAVID FAGENSON) CRD#: 1652012, a broker formerly with UBS of Palm Beach, Florida, was suspended by the Financial Industry Regulatory Authority, Inc. (FINRA) following allegations that he traded excessively in elderly client accounts. DAVID FAGENSON consented to an eight-month suspension without admitting or denying FINRA’s findings. FINRA did not fine Fagenson due […]

BRIAN LAWRENCE STEPHAN (Brian L. Stephan) CRD#: 4222796, a broker from Ohio, was accused by the Financial Industry Regulatory Authority (FINRA) of recommending and causing the execution of unsuitable investments for an 88-year-old client. The FINRA complaint alleges that Brian L. Stephan recommended that the elderly client invest in mutual fund Class A shares in […]