Regulators have sanctioned securities broker Frank Levi Martin (also known as Frange Martin and Frangel Martinez) [CRD: 2859847, Brooklyn, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Martin joined LPL Financial LLC on July 26, 2019. Continue reading to learn more about Martin's disclosures. Maryland Regulator Sanctioned Martin For Supervision […]

Some investors have potentially experienced damages because of securities broker Tyson William Allred [CRD: 3081010, Portland, Oregon], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Allred worked for U.S. Bancorp Investments Inc. from April 27, 2005, to November 7, 2022, and is currently registered with LPL Financial LLC since January 17, 2023. […]

Soreide Law Group announces that it is currently investigating potential claims on behalf of investors who have suffered losses inflicted by securities broker Patrick Noel Thayer [CRD#: 5735955, Lebanon, Ohio]. Evidently, Thayer worked at LPL Financial LLC from September 2020 to October 2022 and Parkland Securities LLC from April 2014 to September 2020. Notably, FINRA […]

Soreide Law Group is conducting an investigation on behalf of investors who have sustained losses with securities broker Courtney Michelle Kaplan (Courtney Michelle Carlsen, Courtney Michelle Ingram, Courtney Ingram Yarmesch, and Courtney Michelle Yarmesch) [CRD#: 5249375, Palm Harbor, Florida]. Evidently, Kaplan worked with LPL Financial LLC in Palm Harbor, FL, from March 11, 2019, to […]

Soreide Law Group is presently investigating potential claims on behalf of investors who may have sustained financial losses due to the actions of John Dougherty (also known as Jack Aloysius Dougherty) (CRD: 3018615, Blue Bell, Pennsylvania). Specifically, Dougherty was affiliated with LPL Financial LLC from January 4, 2021, to August 11, 2023, and with Wells […]

Soreide Law Group is actively investigating potential claims on behalf of investors who have sustained losses involving securities broker Christopher John Carpenter (also known as Chris Carpenter) (CRD: 6601132, Charlotte, NC). Notably, Carpenter worked for LPL Financial LLC from March 5, 2020, to February 1, 2023, and before that with Spire Securities, LLC from May […]

Soreide Law Group is presently investigating potential claims on behalf of investors who may have sustained financial losses due to the actions of Bryan Edward Davidson (CRD: 5445540, Scottsdale, Arizona). Evidently, Davidson worked for BMO Harris Financial Advisors, Inc. as both a financial advisor and broker from September 26, 2014, to March 24, 2021. Additionally, […]

Investors have come forward with complaints about Robert T. Li [CRD: 4068255, Naperville, Illinois]. Evidently, the securities broker, who worked for LPL Financial LLC, discloses client suitability disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. For more on these disclosures about Li, see below. Remember that the broker denies the accusations against him. LPL Financial […]

Soreide Law Group is investigating possible investor claims against securities broker Lynn Witherspoon Bryant (also known as Deborah Bryant) [CRD: 3216344, Hurst, Texas]. Notably, FINRA sanctioned the securities broker, who worked for LPL Financial LLC. Allegedly, Bryant failed to do what FINRA investigators asked of him in an investigation, in violation of FINRA rules. Here […]