The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker John Matson (also known as John Nicholas Matson) (CRD: 1796541, Manhattan Beach, California). Notably, investors disputed the sales practices of the securities broker, who worked for LPL Financial LLC. Additionally, the securities broker discloses a regulatory enforcement action. Notably, these disclosures allege Matson […]

Soreide Law Group is investigating possible investor claims against Jay Eng (also known as Jay William Eng) (CRD: 2241817, Torrance, California). Evidently, FINRA sanctioned the securities broker, who worked for Kinecta Financial Insurance Services. Here is a brief summary of FINRA’s allegations against Eng. But keep in mind that Eng denies the allegations against him. […]

Soreide Law Group is investigating possible investor claims against Arthur Obermeier (also known as Arthur Obermeier and Art Obermeier) (CRD: 350245, Boulder, Colorado). Notably, FINRA sanctioned the securities broker, who worked for LPL Financial LLC. Allegedly, Obermeier engaged in unauthorized trading. Here is a brief summary of FINRA’s allegations against Obermeier. Although, keep in mind […]

Soreide Law Group is investigating possible investor claims against securities broker Gregg Ferguson (also known as Howell Gregory Ferguson) [CRD: 4400990, Bellville, TX]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosed that investors complained about the securities broker, who worked for LPL Financial LLC. Notably, investors allege sales practice violations in these disputes, including that […]

Soreide Law Group is investigating possible investor claims against securities broker Amy Cash (also known as Amy Marjorie O'Brien) [CRD: 5765481, Fort Mill, SC]. Evidently, FINRA sanctioned the securities broker, who worked for LPL Financial LLC. Namely, Cash failed to provide information and documents to FINRA when it investigated potential FINRA rule infractions. Amy Cash […]

Soreide Law Group is investigating possible investor claims against securities broker Polly Stoecklein (also known as Polly Marie Stoecklein and Polly Marie Ison) (CRD:  1041896, Manhattan, KS). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Independent Advisor Alliance. Evidently, one or more […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Rhett Douglas Bedwell (CRD:  5664392, Rogers, AR). Notably, investors disputed the sales practices of the securities broker, who worked for LPL Financial LLC. Additionally, the securities broker discloses a regulatory enforcement action. However, Bedwell denies the allegations of sales practice violations. Read on […]

Soreide Law Group is investigating possible investor claims against securities broker Bruce C. Amman [CRD: 2130243, Denver, Colorado]. Notably, FINRA sanctioned the securities broker, who worked for LPL Financial LLC. Allegedly, Amman engaged in private securities transactions. Here is a brief summary of FINRA’s allegations against Amman. FINRA Sanctions LPL Financial LLC Broker Bruce Amman […]

Soreide Law Group is investigating possible investor claims against securities broker Kevin McCallum AKA Kevin Marshall McCallum [CRD#: 2222586, Birmingham, AL]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for LPL Financial. Notably, investors allege sales practice violations in these disputes, including that […]