Merrill Lynch Client Brings Dispute Alleging Failure To Follow Instructions By Brad Bugher The Financial Industry Regulatory Authority (FINRA) BrokerCheck relays important information in regard to securities broker Bradford Bugher “Brad Bugher” (CRD#: 2314651, Wilmington, Delaware). It appears that the disclosures involving Bugher concern his employment as a financial advisor and securities broker of Merrill […]

FINRA, SEC Take Action Against Mike Conte (Fusion Analytics) FINRA BrokerCheck indicates that investors alleged improper sales practices involving securities broker Michael James Conte “Mike Conte” (CRD#: 2646071, St. James, NY) and that those violations resulted in damages. Notably, Conte was a securities broker at Fusion Analytics Securities LLC during the time of the allegations […]

Wells Fargo Client Alleges That Broker Jordan Samelson Made Unauthorized Options Trades The Financial Industry Regulatory Authority (FINRA) shows that five or more investors filed disputes about securities broker Jordan David Samelson (CRD#: 2984356, Huntington, New York). Evidently, as of April 2016, Samelson works for securities firm Wells Fargo Clearing Services LLC in the capacity […]

Broker Gordon Bryan (Wells Fargo) Suspended By FINRA, Accused Of Excessive Trading Soreide Law Group discusses BrokerCheck disclosures relating to securities broker Gordon Leonard Bryan (CRD#: 1292315, Terre Haute, Indiana). Notably, FINRA issued Bryan a two-month suspension and a $5,000 fine to resolve allegations that he engaged in an undisclosed outside business activity. In addition, […]

Securities Broker Torry Morris (Lincoln Investment, Investors Capital Corp) In Disputes Alleging Sales Practice Violations The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck report for securities broker Anthony Ryan Morris “Tony Morris” (CRD#: 2849581, El Paso, Texas) shows that his employer, Lincoln Investment (El Paso, Texas), permitted him to resign amid allegations of violating policy. BrokerCheck […]

Securities Broker Johnnie Jones Suspended By FINRA, Involved In Investor Disputes Soreide Law Group has new information to share with you concerning securities broker Johnnie Melvin Jones (CRD#: 2705042, Syosset, New York). Evidently, Jones worked for National Securities Corporation (2013 to 2016) and Network 1 Financial Securities Inc. (2016 to 2021). According to Financial Industry […]

Transamerica Investors File Disputes About Barred Securities Broker Narinder Singh Soreide Law Group has important information to share with you regarding securities broker Narinder Kaur Singh (CRD#: 3100308, Sacramento, California). Evidently, Singh worked for Transamerica (2016), ProEquities (2016 to 2017) and Farmers Financial Solutions (2018 to 2019). According to a regulatory action dated August 28, […]

FINRA Bars Christopher Orlando For Allegedly Making Unsuitable Trades In Worden Client Accounts The Financial Industry Regulatory Authority (FINRA) shows through BrokerCheck that it barred securities broker Christopher George Orlando (CRD#: 4136262, New York, New York). Evidently, Orlando worked for firms Worden Capital Management (2016 to 2019), St. Bernard Financial Services (2019 to 2020), and […]

Broker Clement Chichester Targeted In Disputes About Alternative Investments The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of misconduct by securities broker Clement Chichester (CRD#: 1255275, Westlake Village, California). It appears that three or more investors complained about Chichester, who worked for Western International Securities from 2012 to 2017 when the firm disaffiliated with […]