The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Dusty Veitenheimer (also known as Dusty Lynn Sternadel) [CRD: 5872600, Wichita Falls, TX]. Notably, investors complained about the securities broker, who worked for Ameriprise Financial Services LLC. Additionally, the securities broker disclosed a regulatory enforcement action. However, Veitenheimer denies the allegations of sales […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Doug McKelvey (also known as Doug Marshall McKelvey) (CRD:  4502849, Southlake, TX). Evidently, investors disputed the sales practices of the securities broker, who worked for Morgan Stanley Smith Barney LLC. Additionally, the securities broker discloses a regulatory enforcement action. However, McKelvey denies the […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Amanda Yvonne Berry (also known as Amanda Yvonne Coleman) (CRD:  5651609, Oklahoma City, OK). Evidently, investors disputed the sales practices of the securities broker, who worked for MML Investors Services LLC. Additionally, the securities broker discloses a regulatory enforcement action. However, Berry denies […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker James Simpson [CRD: 424828, Toledo, Ohio]. Evidently, investors disputed the sales practices of the securities broker, who worked for Equitable Advisors LLC. Additionally, the securities broker disclosed a regulatory enforcement action. Read on to learn more about the allegations against Simpson. Equitable Advisors […]

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 […]

Soreide Law Group is investigating possible investor claims against securities broker Ann Box AKA Annetta Marie Box Taylor and Annetta Marie Taylor [CRD#: 1662151, Dallas, TX]. Evidently, FINRA sanctioned the securities broker, who worked for Cambridge Investment Research Inc. Allegedly, Box failed to provide information and documents to FINRA when it investigated possible violations of […]

The Financial Industry Regulatory Authority (FINRA) reports allegations of sales practice violations by securities broker Shawn Edward Good [CRD #: 2022168, Wilmington, NC]. Good worked for (1) Morgan Stanley from 2012-2022; (2) Wells Fargo from 2004-2012; and (3) Charles Schwab from 1996-2004. Notably, a Morgan Stanley client disputed the sales practices of the securities broker. […]

Soreide Law Group is investigating possible investor claims against securities broker Christopher Lee Hibbard, AKA Chris Hibbard [CRD#: 3176484, Louisville, Kentucky]. Evidently, the Securities and Exchange Commission (SEC) sanctioned the securities broker, who worked for firms including Morgan Keegan Company and Merrill Lynch Pierce Fenner Smith. Notably, Hibbard pled guilty to criminal conduct. Here is […]

Financial industry watchdog, FINRA, barred securities broker Michael Paul Francoeur (CRD#: 5534184, Somersworth, New Hampshire). Notably, this bar prevents Francoeur from associating with FINRA-member firms, some of whom are major financial institutions. It appears that Francoeur refused to give information to FINRA in regards to a client complaint. Also, BrokerCheck shows that Cambridge Investment Research […]