Investors potentially experienced sales practice violations by securities broker Walter Roland Valenzuela [CRD: 2280224, Encinitas, California], according to information disclosed through Financial Industry Regulatory Authority BrokerCheck. Valenzuela has worked for Kestra Investment Services LLC and Kestra Private Wealth Services LLC since April 29, 2020, and previously worked for Hilltop Securities Inc. from December 10, 2008, […]

Investors potentially experienced sales practice violations by securities broker Rajesh Markan [CRD: 4553309, Dallas, Texas], and United States Securities and Exchange Commission barred him, based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Markan worked for Merrill Lynch from May 8, 2009, through November 4, 2022, and Hilltop Securities Inc. from October 5, […]

Investors apparently complained about securities broker Michael Joseph Kane III [CRD: 5099883, Sherman, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kane worked for Hilltop Securities Inc. from August 21, 2020, to June 13, 2023, Momentum Independent Network Inc. from May 1, 2023, to September 4, 2025, and LPL Financial LLC beginning […]

Soreide Law Group is investigating possible investor claims against Justin Walt Parker (CRD: 4364398, Del Mar, California). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Hilltop Securities Inc. Evidently, one or more investors alleged misconduct in these disputes, including that Parker made […]

Investors have come forward with complaints about securities broker Adam R. Melville [CRD: 5311511, Sherman Oaks, California]. Evidently, the securities broker, who worked for Southwest Securities Inc. and Hilltop Securities Inc., disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. For more on these disclosures about Melville, see below. Hilltop Securities Inc. Investor Accused […]

Investors have come forward with complaints about securities broker Michael Kane III [CRD: 5099883, Houston, Texas]. Notably, the securities broker, who worked for BBVA Securities Inc. and Hilltop Securities Inc., disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. For more on these disclosures about Kane, see below. Michael Kane Disclosed Unsuitable Recommendations Allegations […]

Soreide Law Group is investigating possible investor claims against securities broker Stephen Coma AKA Stephen Robert Coma [CRD#: 1414147, Charlotte, NC]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Hilltop Securities. Evidently, investors allege sales practice violations in these disputes, including that […]

Soreide Law Group is investigating possible investor claims against securities broker Charles Burford AKA Scott Burford [CRD#: 1658201, Dallas, TX]. Evidently, FINRA filed an enforcement or civil action against the securities broker, who worked for Hilltop Securities, Independent Network (Momentum Independent Network), and Burford Brothers. Allegedly, Burford made unauthorized transactions. Here is a brief summary […]

Oppenheimer Securities Broker Dennis Ayre Barred By FINRA And Involved In Investor Disputes About Foresight Energy LP Stock Transactions Soreide Law Group is reviewing potential investor lawsuits against securities broker Dennis Phillip Ayre (CRD#: 5365176, Beverly Hills, California). Evidently, Ayre, who worked for broker-dealers including Hilltop Securities (2019 to 2020), Oppenheimer Co. Inc. (2014 to […]