Investors might have sustained losses due to securities broker Philip Anthony Riposo [CRD: 400056, Cave Creek, Arizona], and FINRA has sanctioned him, according to disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Riposo was previously registered with United Planners' Financial Services of America A Limited Partner from December 7, 2015, to March 8, […]

Financial Industry Regulatory Authority (FINRA) sanctioned broker Scott Michael Bremus [CRD: 4073006, Dacula, Georgia], and investors complained about his sales practices, according to disclosures on BrokerCheck. Evidently, Bremus most recently worked for LPL Financial LLC from October 14, 2016, to October 29, 2021. Here’s more about these disclosures. FINRA Suspended Bremus For Private Securities Transactions […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker John Aloysius Dougherty (also known as Jack Dougherty) [CRD: 3018615, Blue Bell, Pennsylvania], given the disclosures on FINRA BrokerCheck. Evidently, Dougherty worked for LPL Financial LLC from January 4, 2021, to August 11, 2023, and for Wells Fargo […]

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 […]