Did Your Financial Advisor Recommend PHI, Inc. Bonds? Soreide Law Group is reviewing possible claims against securities brokers and financial advisors who possibly recommended bonds issued by PHI, Inc. (OTC: PHIKQ, PHIIQ) – a Lafayette, Louisiana-based helicopter services company which emerged from Chapter 11 bankruptcy in September 2019. Who Is PHI, Inc.? Apparently, PHI, Inc. […]

HJ Sims Broker Larry Wolfe Apparently Commits Elder Exploitation Soreide Law Group is reviewing possible investor claims against securities broker Larry Charles Wolfe [CRD#: 502361, Boca Raton, Florida]. Notably, Financial Industry Regulatory Authority ("FINRA") BrokerCheck discloses that at least 16 clients disputed the sales practices of the securities broker, who worked for HJ Sims and […]

Broker Mike Libmann Purportedly Misrepresented, Concealed Information Investors are coming forward with disputes about securities broker Mike Libmann [CRD#: 1323896, Quincy, Illinois]. Evidently, Libmann, who associated with MML Investors Services until 2018, reports 4 investor disputes on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck. Notably, his clients suggest that he concealed important information concerning investments that […]

Kalos Broker Joepat Roop Allegedly Sold Unsuitable BDCs, REITs Soreide Law Group wants to know if you sustained losses through investing with Joseph Patrick “Joepat” Roop (CRD#: 2774470, Belmont, North Carolina). Roop is a securities broker who joined Dempsey Lord Smith, LLC in July 2019 after a 10-year stint at Kalos Capital. Notably, Financial Industry […]

UBS Customers File Disputes About Dwight West Soreide Law Group is investigating potential investor claims of bad securities sales by broker Dwight West [CRD#: 463778, Lone Tree, Colorado]. Notably, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck reports that no less than 6 clients contested the securities recommendations or sales of the securities broker, who joined UBS […]

Kovack Investor Suggests Broker Jeffrey Davis Gave Bad Advice Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming allegations of improprieties by securities broker Jeffrey Davis [CRD#: 2501354, Bristol, Connecticut]. Notably, no less than 10 clients contested the securities recommendations or sales of the securities broker, who joined Kovack Securities on November 1, 2013. […]

Ausdal and Madison Avenue Clients Take Aim At Broker David Geake Soreide Law Group is investigating potential investor claims of bad business practices by securities broker David Geake [CRD#: 3088891, Northbrook, Illinois]. Notably, Financial Industry Regulatory Authority (FINRA) BrokerCheck reports that no less than 6 clients contested the securities recommendations or sales of the securities […]

Investors Suggest Joseph Gunnar CEO Joseph Alagna Failed To Supervise Investors have come forward with complaints about securities broker Joseph Alagna Jr. [CRD#: 1840339, New York, New York]. Apparently, the securities broker, who currently serves as Chief Executive Officer of Joseph Gunnar, discloses 3 investor disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Apparently, Joseph […]

FINRA Issues Suspension, Fine To PlanMember's Raymond Menna The Financial Industry Regulatory Authority (“FINRA”) issued a 45 day suspension and $5,000 fine to PlanMember Securities Corporation broker Raymond Menna (CRD#: 1918097, Farmingville, New York, New York). Evidently, Menna, who worked for PlanMember Securities Corporation from August  12, 2010 to May 30, 2019, executed an Acceptance, […]