Soreide Law Group is looking into possible investor claims on behalf of those who incurred losses through securities broker John Jay Kersey [CRD: 1480524, Cincinnati, Ohio]. Notably, Kersey worked for Northwestern Mutual Investment Services LLC from June 8, 2001, to June 23, 2023. Here’s more on the FINRA sanctions against Kersey and investor disputes involving […]

Soreide Law Group is reviewing potential investor claims on behalf of individuals who incurred losses from securities broker Joao Amorim Pinto [CRD: 6298233, New York, New York]. Pinto has worked for Spartan Capital Securities LLC since October 22, 2019. Read below to learn more about Pinto’s disclosures, which include FINRA sanctions and an investment dispute. […]

Investors might have faced financial losses due to securities broker Donald DePiro [CRD: 3095140, Melville, New York], as indicated by disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. DePiro joined UBS Financial Services Inc. in Melville, NY, on February 18, 2021. Prior to this, he worked for Merrill Lynch Pierce Fenner Smith Incorporated in Riviera […]

Investors potentially experienced investment losses through securities broker Leslie Howard Kern (also known as Les H. Kern) [CRD: 1140180, Wilmington, North Carolina]. Evidently, Kern has worked with D.H. Hill Securities, LLLP in Wilmington, NC since January 4, 2016, and with D.H. Hill Advisors Inc. in Kingwood, Texas since February 10, 2016. Continue reading to discover […]

Soreide Law Group is investigating possible investor claims on behalf of those who incurred losses through securities broker Hagin Gifford Richeson [CRD: 5380166, Clearwater, Florida]. Notably, Richeson has worked for Corinthian Partners LLC since July 4, 2016, and with Corinthian Partners Asset Management LLC since December 16, 2022. Continue reading to learn more about Richeson's […]

Soreide Law Group is reviewing potential investor claims on behalf of individuals who incurred losses from securities broker Felipe Nery Arrieta [CRD: 4142123, Melville, New York]. Notably, Arrieta works for several firms, including Vestech Securities Inc. in St. Louis, Missouri since January 9, 2024, and previously with Great Point Capital LLC, Moloney Securities Co. Inc., […]

Soreide Law Group is reviewing potential investor claims on behalf of individuals who incurred losses from securities broker Alfred Sietze Vanderlaan (also known as Al Vanderlaan) [CRD: 1172406, Watertown, South Dakota]. Vanderlaan has a history of employment with firms like Westpark Capital Inc. from May 20, 2019, to June 2, 2022, and Sandlapper Securities LLC […]

FINRA BrokerCheck shows regulatory sanctions and investor claims concerning Robert C. David Jr. [CRD: 5211223, Farmington Hills, Michigan]. Evidently, he worked for Morgan Stanley from June 1, 2009, to April 2, 2019. Notably, the sanctions concern allegations of falsifying information and overconcentrating investor accounts in risky products. Also, investor disputes center around allegations of misrepresentation […]

Soreide Law Group is looking into potential claims on behalf of investors who incurred losses due to Henry Jihua Liu [CRD: 2428803, Melville, New York]. Evidently, Liu joined Aegis Capital Corp in March 2011 as a securities broker and financial advisor. He has faced investor accusations such as unsuitable investment recommendations. For more detailed information […]