Broker Fred Brown Faces Regulatory Action, Disputes Over Borrowing Money From Clients Soreide Law Group is reviewing possible investor claims relating to securities broker Fred Ronald Brown (CRD#: 1175385, Montgomery, Alabama). Notably, the securities broker, who worked for Merrill Lynch from 2012 to 2017 in various capacities, faced a suspension and fine from FINRA for […]

Investors Take Aim At Merrill Lynch's Kevin Schaefer Soreide Law Group is reviewing possible investor claims of sales practice violations against securities broker Kevin Joseph Schaefer (CRD#: 1286030, San Francisco, California). Notably, Financial Industry Regulatory Authority (“FINRA”) reports that six investors brought disputes about Schaefer, who worked for Merrill Lynch as a financial advisor from […]

Securities Broker Christopher Swan Involved In Investor Disputes Financial industry Regulatory Authority (“FINRA”) reports that investors have filed disputes or lawsuits against securities broker Christopher Allan Swan (CRD#: 5810132, Irving, Texas). Notably, two investors brought disputes between 2019 and 2020 which are summarized below. BB&T Investments Client Indicates Christopher Swan Made Unauthorized Mutual Fund Transactions […]

Merrill Lynch Broker Charles Kenahan Under Investigation For Bad Trades Soreide Law Group is investigating claims on behalf of investors who purchased securities from Charles Ernest Kenahan (CRD#: 1351974, Boston, Massachusetts). Not only is the securities broker under investigation by New Hampshire Department of State Bureau of Securities Regulation, but at least four investors brought […]

Investors Signal Possible Unsuitable Advice By John Borsellino The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker John Anthony Borsellino (CRD#: 2006663, Stamford, Connecticut). Notably, FINRA issued Borsellino a fine and suspension for his unsuitable recommendations. Not only that, but the securities broker, who worked for Merrill Lynch and Morgan […]

Investors File Suitability Disputes About Carlos Abella Soreide Law Group is investigating potential investor claims of bad securities sales practices by broker Carlos Abella [CRD#: 3207913, Guaynabo, Puerto Rico]. Evidently, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck reports no less than 23 clients who contested the securities recommendations or sales of the securities broker, who joined […]

Merrill Lynch Investors Indicate Broker Juan Barreras Recommended Unsuitable, Misrepresented Investments Investors are voicing complaints and serious concerns in regard to Juan Barreras [CRD#: 1742910, Guaynabo, Puerto Rico]. Supposedly, the securities broker, who began working with Merrill Lynch on June 21, 2010, shows 5 investor disputes on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck. Supposedly, Merrill […]

Merrill Lynch's Scott Madison Allegedly Churned Investor's Account The Financial Industry Regulatory Authority (“FINRA”) reports troubling information about Merrill Lynch securities broker Scott Madison (CRD#: 4323032, Beverly Hills, California). Namely, at least two of Madison’s clients contested his sales practices. These client disputes raise serious questions about whether Madison made unauthorized trades and provided poor […]

Investors Dispute Sales Practices Of Sylvester Knox Investors continue to dispute the sales practices of securities broker Sylvester Knox (CRD#: 1625705, Short Hills, New Jersey). Namely, the securities broker, who Merrill Lynch disaffiliated with in 2017 for allegedly making unauthorized trades and misrepresentations, is entangled in 25 client disputes. These client disputes, disclosed on FINRA […]