Investors might have sustained losses because of securities broker Matthew Kenneth Wilkes [CRD: 5409004, Knoxville, Tennessee], according to disclosures on FINRA BrokerCheck. Evidently, Wilkes worked for TrustFirst in Knoxville, TN, from April 4, 2019, to October 30, 2023, FSIC in Chicago, IL, from June 21, 2017, to September 12, 2018, and Raymond James Financial Services […]

Investors might have sustained losses because of securities broker Lara Charltre [CRD: 5107119, Anchorage, Alaska], according to disclosures on FINRA BrokerCheck. Evidently, Lara Shogren worked for CUSO Financial Services LP from September 20, 2023, to the present, and previously with Key Investment Services LLC from October 14, 2015, to September 6, 2023. Continue reading to […]

Investors might have sustained losses because of securities broker John Stephen Pronovost [CRD: 1990612, Watertown, Connecticut], according to disclosures on FINRA BrokerCheck. Pronovost joined Osaic Institutions Inc. in Watertown, CT, both as an investment adviser and broker on February 26, 2021. Before this, he worked for Cambridge Investment Research Inc., and Cambridge Investment Research Advisors […]

Investors might have sustained losses because of securities broker John Gerard Forrester Jr. [CRD: 728188, Boca Raton, Florida], according to disclosures on FINRA BrokerCheck. Evidently, John Forrester worked for Newbridge Securities Corporation and Wasserman Associates Inc. Keep reading to learn more about John Forrester's disclosures. Newbridge Securities Corporation Investor Accused Forrester Of Breach Of Fiduciary […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker John D. Cimino [CRD: 4757028, Naples, Florida], given the disclosures on FINRA BrokerCheck. Evidently, Cimino joined American Global Wealth Management Inc. on September 11, 2023, and Imprint Wealth LLC on July 17, 2023, in Naples, Florida. Before then, […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Gary Kendall Liska [CRD: 2512188, Los Angeles, California], given the disclosures on FINRA BrokerCheck. Evidently, Liska joined Signature Estate Investment Advisors LLC on May 12, 1997, and Signature Estate Securities LLC on August 16, 2023. Continue reading to […]

Investors might have sustained losses because of securities broker Douglas Harry Chapman [CRD: 2230482, Clark, New Jersey], according to disclosures on FINRA BrokerCheck. Evidently, Chapman has registrations with LPL Financial LLC since January 11, 2024, and previously worked with Cetera Advisor Networks LLC and Securian Financial Services Inc. Read on to learn more about investor […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Al Stephen Lovelace [CRD: 2393766, Rutherfordton, North Carolina], given the disclosures on FINRA BrokerCheck. Evidently, Lovelace has worked for Equitable Advisors LLC since December 27, 2016, and worked previously at AXA Advisors LLC from October 2, 2008, to […]

Investors potentially experienced investment losses through securities broker Ralph Dennis Courtland [CRD: 4374698, Fairfield, New Jersey], according to disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Courtland has worked for Wells Fargo Clearing Services LLC since January 1, 2008. Courtland's disclosures include allegations of unsuitable recommendations, breach of fiduciary duty, and misrepresentation. These […]