Investors have voiced complaints about securities broker Kerry Thomas Cassell (CRD: 2069521, Charlotte, North Carolina). Notably, the securities broker, who worked for Merrill Lynch Pierce Fenner Smith Incorporated, disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Namely, Merrill Lynch Pierce Fenner Smith Incorporated clients allege that Cassell made misrepresentations. For more on these […]

Soreide Law Group is investigating possible investor claims against securities broker Stephen Tosha (also known as Stephen Patrick Tosha) [CRD: 5970854, Dallas, TX]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosed that investors complained about the securities broker, who worked for Merrill Lynch Pierce Fenner Smith Incorporated. CA Dept. Of Insurance Sanctions Stephen Tosha Over […]

Soreide Law Group is investigating possible investor claims against securities broker Brent Devon Hablutzel (CRD:  4749339, Greenwood Village, CO). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Merrill Lynch Pierce Fenner Smith Incorporated. Evidently, one or more investors alleged that Hablutzel engaged […]

Soreide Law Group is investigating possible investor claims against securities broker Jorge Sonville AKA Jorge Antonio Sonville [CRD#: 2558540, Miami, FL]. Notably, FINRA sanctioned the securities broker, who worked for Merrill Lynch Pierce Fenner Smith. Allegedly, Sonville loaned a client money. Here is a brief summary FINRA’s allegations against Sonville. FINRA Sanctions Merrill Lynch Pierce […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Ernest Frerking AKA Ernie Frerking [CRD#: 2588177, Austin, TX]. Evidently, investors disputed the sales practices of the securities broker, who worked for Merrill Lynch Pierce Fenner Smith. Additionally, the securities broker discloses a regulatory enforcement action. However, Frerking denies the allegations of sales […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Andrew Elsoffer AKA Andrew Bruce Elsoffer [CRD#: 2580009, Pepper Pike, OH]. Evidently, investors disputed the sales practices of the securities broker, who worked for Stifel Nicolaus Company. Additionally, the securities broker discloses a regulatory enforcement action. However, Elsoffer denies the allegations of sales […]

Investors have come forward with complaints about securities broker Gary Begnaud [CRD#: 865927, Mt. Laurel, NJ]. Evidently, the securities broker, who worked for Merrill Lynch Pierce Fenner Smith, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Merrill Lynch Pierce Fenner Smith clients allege that Begnaud made unauthorized transactions. For more on these […]

The Financial Industry Regulatory Authority (FINRA) reports allegations of sales practice violations by securities broker Francisco Javier Valenzuela [CRD #: 2786970, Tucson, AZ]. Valenzuela worked for Morgan Stanley from 2015-2018; (2) Merrill Lynch Pierce Fenner & Smith from 2010-2015; and (3) Chase Investment Services Corp from 2005-2010. Evidently, a Morgan Stanley investor disputed Valenzuela’s sales […]

Soreide Law Group is investigating possible investor claims against securities broker Cass J. Jenkins [CRD#: 4304584, Fort Worth, Texas]. Specifically, FINRA BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Merrill Lynch Pierce Fenner Smith Incorporated. Evidently, one or more clients allege sales practice violations in these disputes, including […]