Soreide Law Group comes to you with important information regarding William Forrest Winchester AKA Bill Woods [CRD #: 4404327, Chattanooga, TN]. Woods worked for (1) Cadaret, Grant, & Co from 2020-2021; (2) Raymond James Financial Services from 2012-2020; and (3) LPL Financial LLC from 2007-2012. Evidently, the securities broker discloses one or more investor disputes […]

Soreide Law Group is investigating possible investor claims against securities broker Joseph Don Malboeuf [CRD#: 4825607, Colchester, Vermont]. Specifically, FINRA BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for LPL Financial. Evidently, one or more clients allege sales practice violations in these disputes, including failure to follow instructions. Here […]

FINRA Investigating LPL Broker Mike Lancaster The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Michael “Mike” Joseph Lancaster (CRD#: 1353552, Tampa, Florida). Namely, the securities broker, who worked for LPL Financial LLC from May 2011 to February 2021, appears to be under FINRA investigation relating to an investor complaint. […]

LPL Broker Don Woods Allegedly Recommended, Sold Unsuitable Alternative Investments Investors are voicing complaints about securities broker Donald “Don” Stephen Woods [CRD#: 727894, Louisville, Kentucky]. Apparently, the securities broker worked for LPL Financial LLC between July 1, 2010 and January 20, 2017 and then worked for Thurston Springer Financial from December 22, 2016 to August […]

Broker Benjamin Bourgeois Allegedly Converted Funds From LPL Financial Client Investor Alert! The Financial Industry Regulatory Authority ("FINRA") reports alarming allegations of improprieties by securities broker Benjamin Frank Bourgeois Jr. (CRD#: 2145555, Metairie, Louisiana). Notably, no less than 4 clients contested the securities recommendations or sales of the securities broker, who worked for Commonwealth Financial […]

LPL Broker Kevin Kuhlow Supposedly Caused Clients' Losses On Private Placements Soreide Law Group is investigating potential lawsuits against LPL Financial and securities broker Kevin Joseph Kuhlow (CRD#: 1993792, Los Gatos, California). Evidently, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck reports that 9 clients opposed actions taken by the securities broker, who associated with LPL Financial […]

KERRY HOFFMAN, THOMAS CONWELL Named In SEC Complaint The Securities and Exchange Commission (“SEC”) brought charges against prior LPL Financial LLC securities broker Kerry Hoffman (CRD#: 1061740, Mundelein, Illinois) and barred-broker Thomas Conwell (CRD#: 2095817, Fort Meyers, Florida). Specifically, the agency filed Civil Action #: 19-cv-4409 on July 1, 2019, claiming Hoffman and Conwell violated […]

JASON NELSON Barred By FINRA The Financial Industry Regulatory Authority (“FINRA”) barred LPL Financial LLC securities broker Jason Nelson (CRD#: 4824535, Tremonton, Utah). Evidently, Nelson submitted a Letter of Acceptance, Waiver and Consent (“AWC”) on May 30, 2019, which FINRA accepted on June 6, 2019.  Notably, FINRA says that Nelson violated FINRA Rules by refusing […]

Allegations Of Misconduct Raised Against LPL Financial LLC Brokers Brian Griffith, Kevin Sofoul, Virginia Nichols LPL Financial LLC (CRD#: 6413, Boston, Massachusetts) is a FINRA-regulated brokerage firm and SEC-regulated investment adviser firm. Mainly, LPL Financial LLC reports through FINRA BrokerCheck that regulators have taken disciplinary action against it 153 times. Also, arbitrators in approximately 54 […]