TODD LAMBERTY Losses? Todd Lamberty (CRD#: 4155573, Sioux Falls, South Dakota) is a securities representative who most recently was registered through Questar Capital Corporation. According to the Financial Industry Regulatory Authority (“FINRA”), an investor allegedly incurred losses from Lamberty’s sales practice violations. Here’s more on the allegations against Lamberty: Client of Woodbury Financial Services & […]

RAND HECKLER Barred By FINRA The Financial Industry Regulatory Authority (“FINRA”) announced it has barred Benjamin & Jerold Brokerage I LLC securities broker Rand Heckler (CRD#: 2689235, Glen Cove, New York) from the securities industry for violating FINRA Rules by not responding to FINRA’s requests when under investigation. Supposedly, Heckler, A Benjamin & Jerold broker […]

WEATHERLY OIL AND GAS LLC Losses? Soreide Law Group is reviewing possible investor claims against brokers and financial advisors who sold investors Weatherly Oil and Gas LLC. Evidently, Weatherly, an oil and gas acquisition and exploitation company, is private-equity backed and concentrates in the region of Texas, Louisiana and Arkansas. The company controls more than […]

JOHN PRONOVOST Misrepresent Your Investments? Soreide Law Group is looking into possible investment-loss related disputes on behalf of clients who invested with Cambridge Investment Research, Inc. securities broker John Pronovost (CRD#: 1990612, Watertown, CT). As the Financial Industry Regulatory Authority (“FINRA”) reports on BrokerCheck, Pronovost, who has been registered through the firm since February 29, […]

ROGER ZULLO Cause You Investment Losses? The Securities and Exchange Commission (“SEC”) and the Financial Industry Regulatory Authority (“FINRA”), and at least one state regulator, have barred LPL Financial LLC stockbroker Roger Zullo (CRD#: 1882087, Boston, Mass.) from acting as a broker or investment advisor.  The SEC and FINRA actions come after Mass. Securities Division […]

Investor Alert: Customer Claims Against WELLS FARGO, LEONARD KINSMAN Leonard Kinsman (CRD#: 2816535, Staten Island, New York) is presently employed as a securities broker of Wells Fargo Advisors Financial Network, LLC. According to FINRA BrokerCheck, investors reference Kinsman’s securities practices in four complaints between May 5, 1998 and October 17, 2016. Customers’ claims suggest Kinsman […]

Misconduct Alleged Against Next Financial Broker Michael Matthews Next Financial Group, Inc. (CRD#: 46214, Houston, Texas) is a FINRA and SEC regulated brokerage firm and investment advisory. Regulators have taken disciplinary action against Next Financial Group, Inc. on at least 20 occasions, according to FINRA BrokerCheck. Not only that, but the firm was found liable […]

Investors Complain About Morgan Stanley Brokers Anthony Mampieri, James Willer, Thomas Srachta, Trent Ahlers Anthony Ralph Mampieri (CRD#: 1653703, Boca Raton, Florida) is a Morgan Stanley Smith Barney securities representative. Supposedly, on October 13, 2016, a customer of Morgan Stanley brought a customer dispute in regard to Anthony Mampieri’s sales practices. Allegedly, from 2011 to […]

ATTENTION INVESTORS: Complaints Filed Against Brokers Cheskel Gottlieb, Mark Wasikonis, Stephen Wingard, Phillip Barringer MML Investors Services, LLC (CRD#: 10409, Springfield, Massachusetts) does business as an investment adviser firm and as a brokerage firm. The Financial Industry Regulatory Authority (“FINRA”) and the Securities and Exchange Commission (“SEC”) regulate MML Investors Services, LLC. Notably, according to […]