Soreide Law Group is investigating possible investor claims against David S. Wells (also known as David Sheldon Wells) (CRD: 6774493, Mount Prospect, Illinois). Evidently, DOJ and SEC filed against the securities broker, who worked for Fifth Third Securities Inc. Allegedly, Wells misappropriated funds, but the matters are ongoing and he denies the allegations. Here is […]

Soreide Law Group is investigating possible investor claims against securities broker Bradley Morgan Holts (also known as Brad Holts) (CRD: 5819398, Denver, Colorado). Particularly, SEC filed a Complaint against the securities broker, who worked for World Capital Brokerage Inc. Allegedly, Holts misappropriated funds. Here is a brief summary of SEC’s allegations against Holts. SEC Charges […]

Soreide Law Group is looking into possible investor claims against securities broker Fernando Silva (CRD: 7326519, Tucson, Arizona). Particularly, FINRA sanctioned the securities broker, who worked for Morgan Stanley. Allegedly, Silva did not cooperate with a FINRA investigation. Here is a brief summary of FINRA’s allegations against Silva. Silva Sanctioned By FINRA For Failure To […]

FINRA reports important information about securities broker Darryl Matthew Cohen (CRD: 2786613, Westlake Village, California). Evidently, investors disputed the sales practices of the securities broker, who worked for Morgan Stanley. Additionally, the securities broker discloses a regulatory enforcement action. However, Cohen denies the allegations of sales practice violations. Read on to learn more about the […]

Soreide Law Group is investigating possible investor claims against Nicholas Radke (also known as Randy Radke Jr.) (CRD: 2610246, Irvine, California). Notably, an Oregon regulator sanctioned the securities broker, who worked for American Independent Securities Group LLC. Allegedly, Radke made misrepresentations and omissions of material fact. Here is a brief summary of the regulatory allegations […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Jonathan Dudley (also known as Jonathan H. Dudley) (CRD: 5413469, Atlanta, Georgia). Mainly, FINRA sanctioned Dudley for his failure to provide information. However, Dudley denies the allegations. Read on to learn more about the allegations against Dudley. Jonathan Dudley Sanctioned By FINRA For […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker John Terzis (also known as John Nicholas Terzis) (CRD: 1805020, Skokie, Illinois). Not only has FINRA sanctioned Terzis for a client loan, but investors disputed the sales practices of the securities broker. However, Terzis denies the allegations. Read on to learn more about […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Caz Craffy (also known as Carz Craffy) (CRD: 5222223, Point Pleasant Beach, New Jersey). FINRA sanctioned Craffy for his failure to provide Information in an investigation. However, Craffy denies the allegations. Read on to learn more about the allegations against Craffy. Craffy Sanctioned […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Anthony Liddle (also known as Tony Liddle) (CRD: 5478479, Oshkosh, Wisconsin). Notably, investors disputed the sales practices of the securities broker, who worked for Landolt Securities Inc. Additionally, he discloses a regulatory enforcement action. Notably, these disclosures allege Liddle engaged in sales practice […]