GMS Group’s Paul Mante Allegedly Misrepresented Bonds Paul David Mante (CRD#: 4911949, Boca Raton, Florida) is a GMS Group LLC securities representative with a number of customer complaints on his record. Specifically, Paul Mante disclosed through Financial Industry Regulatory Authority (FINRA) that at least 8 GMS Group LLC customers have complained about his sales practices. […]

Dawson James’ Peter Ruggiere Allegedly Made Unsuitable Trades Peter George Ruggiere (CRD#: 2248318, Boca Raton, Florida) has been a Dawson James Securities Inc. broker since February 6, 2008. Investors should be concerned that Peter Ruggiere has disclosed on his FINRA BrokerCheck profile that customers of Dawson James Securities, Inc., Josephthal & Co., Inc., and Newbridge […]

Moloney Securities’ David Todd Phillips Terminated For Outside Business Activities Moloney Securities’ David Todd Phillips Terminated For Outside Business Activities   David Todd Phillips (CRD#: 3094195, Gilbert, Arizona), is a prior securities broker for Moloney Securities Co., Inc. According to Financial Industry Regulatory Authority (“FINRA”) BrokerCheck, there are two disclosures about his alleged misconduct. Particularly, […]

Customers File Disputes Involving UBS Financial Services’ Pedro Pons Pedro J. Jose Pons (CRD#: 2495983, San Juan, Puerto Rico) is a prior general securities representative of UBS Financial Services Inc. Throughout Pedro Pons’s employment, he serviced the investment accounts of approximately 19 customers that complained about his activities. A brief summary of Pedro Pons pending […]

Customers Allege Misconduct By First Allied Securities Brokers Soreide Law Group is investigating claims on behalf of investors who may have been victim to sales practice violations committed by First Allied Securities, Inc. (CRD#: 32344, San Diego, California) brokers including Douglas Alexander and Kevin Vandyke. Here is a summary of customers’ complaints against those brokers: […]

Misconduct Allegations Against UBS Financial Services Brokers UBS Financial Services Inc.  (CRD#: 8174) is a Financial Industry Regulatory Authority (“FINRA”) regulated brokerage firm and (“SEC”) regulated investment adviser firm. UBS’ main offices are in Weehawken, New Jersey. UBS has reported 858 discloses regarding its alleged mishaps in the securities industry. 453 of those disclosures concern […]

H.D. Vest Customers Allege Karl Ronald Foust Sold Unsuitable Investments Karl Ronald Foust Jr. (CRD#: 1010291, Boca Raton, Florida) is a prior H.D. Vest Investment Services securities representative. Foust began working at the firm’s Boca Raton, Florida branch on November 5, 2009. Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that numerous customers have complained about […]

Park Avenue Securities Allegedly Sold Unsuitable Investments Park Avenue Securities LLC (CRD#: 46173, New York, New York) is a brokerage firm regulated by Financial Industry Regulatory Authority and investment adviser firm regulated by the Securities and Exchange Commission. Soreide Law is reviewing possible investor claims of unsuitability against Park Avenue Securities LLC brokers Jason Tyler […]

Customers File Claims Against AXA Advisors For Misrepresentation Soreide Law Group is investigating misrepresentation and suitability claims on behalf of customers who invested with AXA Advisors securities brokers and financial advisors including Celia Scott, Norris Rees Woody Jr., and Jerald Paul Reiner. AXA Advisors, LLC (CRD#: 6627, Minneapolis, Minnesota) is a brokerage firm regulated by […]