Securities Broker Scott Williams (Raymond James, LPL Financial) Involved In Investor Disputes Soreide Law Group provides you with this Investor Alert in regard to securities broker Scott D. Williams (CRD#: 2330693, Franklin Tennessee). Notably, the Financial Industry Regulatory Authority (“FINRA”) reports that the securities broker, who worked for firms Raymond James (2011 to 2017) and […]

Broker Galen Kopman Facing Disputes From Investors The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to Centaurus Financial securities broker Galen Kyle Kopman (CRD#: 3011906, Vancouver, Washington). Notably, FINRA BrokerCheck reports that three investors brought disputes about the securities broker. Here’s more on those disputes and what you could do if you […]

Broker Kevin Fretz Supposedly Sold LPL Clients Bad Investments The Financial Industry Regulatory Authority (“FINRA”) reports alarming details in regard to financial advisor Kevin Charles Fretz (CRD#: 4128808, South Windsor, Connecticut). Notably, there are six investors who have brought complaints or lawsuits which suggest that Fretz caused their losses. Supposedly, Fretz sold unsuitable and misrepresented […]

LPL Broker James Booth Defrauds, Steals From Clients Soreide Law Group provides this latest update surrounding a problem securities broker by the name of James Thomas Booth (CRD#: 1906145, Norwalk, Connecticut). Notably, Financial Industry Regulatory Authority (“FINRA”) reports that 36 investors – including LPL Financial and Investment Financial Corporation clients – brought lawsuits or complaints […]

LPL Broker Dain Stokes Allegedly Misappropriated Funds Investor Alert! The Securities and Exchange Commission (“SEC”) barred LPL Financial securities broker Dain Farrell Stokes (CRD#: 2960801, Bedford, New Hampshire). These sanctions come after the New Hampshire Department of State Bureau of Securities Regulation suspended his licenses and issued him a fine for seemingly misappropriating investor funds […]

Broker Jason LaBelle Allegedly Misrepresented Promissory Note Details Soreide Law Group is reviewing possible investor claims against securities broker Jason C. LaBelle (CRD#: 5654529, Pittsfield, Massachusetts). Namely, FINRA issued a suspension and a fine to the former LPL Financial securities broker for his outside business activities. Not only that, but at least four clients filed […]

LPL Financial's Nicholas Travascio Allegedly Recommended Unsuitable REITs Investors are voicing complaints and serious concerns in regard to Nicholas Travascio [CRD#: 2581756, Hurst, Texas]. Supposedly, the securities broker, who worked for LPL Financial between May 1999 and December 2018, discloses 3 investor disputes on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck. Namely, LPL Financial clients indicate […]

ROGER ZULLO Cause You Investment Losses? The Securities and Exchange Commission (“SEC”) and the Financial Industry Regulatory Authority (“FINRA”), and at least one state regulator, have barred LPL Financial LLC stockbroker Roger Zullo (CRD#: 1882087, Boston, Mass.) from acting as a broker or investment advisor.  The SEC and FINRA actions come after Mass. Securities Division […]