Soreide Law Group is actively investigating potential claims on behalf of individuals who have incurred financial losses due to the actions of Richard Michael Wesselt (also known as Rich Wesselt) [CRD#: 2195569, Collegeville, Pennsylvania]. Evidently, Wesselt worked with several employers, including Fortune Financial Services Inc. from September 2017 to November 2020 and The O.N. Equity […]

Soreide Law Group is conducting an investigation on behalf of investors who have suffered losses due to the actions of securities broker James J. Mariani (CRD#: 2932631, Mineola, New York). Evidently, Mariani has been affiliated with Aegis Capital Corp. from September 2017 to September 2021 and National Securities Corporation from January 2007 to September 2017. […]

Investors have come forward with complaints about Shawn Conan Spellacy [CRD: 2275119, Fair Oaks, California]. Evidently, the securities broker, who worked for Calton Associates Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Calton Associates Inc. clients allege unsuitable trading. For more on these disclosures about Spellacy, see below. Calton Associates Inc. […]

Soreide Law Group is investigating possible investor claims against William Robert Young (also known as Bill Young) (CRD: 4787488, Bethesda, Maryland). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for H. Beck Inc. Evidently, one or more investors alleged misconduct in these disputes, […]

Soreide Law Group is investigating possible investor claims against Solomon Wei-En Hua (also known as Weien Hua) (CRD: 6168816, West Covina, California). Notably, FINRA sanctioned the securities broker, who worked for Wells Fargo Clearing Services LLC. Allegedly, Hua made unsuitable recommendations. Here is a brief summary of FINRA’s allegations against Hua. Solomon Hua Sanctioned By […]

Investors have come forward with complaints about securities broker Rick David Schofield (CRD: 2197999, Lakewood Ranch, Florida). Evidently, the securities broker, who worked for Money Concepts Capital Corp., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Money Concepts Capital Corp. clients allege that Schofield made unsuitable recommendations, recommended investments which poorly performed, […]

Soreide Law Group is investigating possible investor claims against Richard F. Spettell (also known as Richard Frederic Spettell) (CRD: 1686392, New York, New York). Notably, FINRA sanctioned the securities broker, who worked for Morgan Stanley. Allegedly, Spettell caused the securities firm to maintain false records or books. Here is a brief summary of FINRA’s allegations […]

Investors have come forward with complaints about securities broker Paul Joseph Brent (CRD: 2470612, Gross Pointe Farms, Michigan). Notably, the securities broker, who worked for Morgan Stanley, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Morgan Stanley clients allege that Brent made misrepresentations. For more on these disclosures about Brent, see below. […]

Soreide Law Group is investigating possible investor claims against Justin Walt Parker (CRD: 4364398, Del Mar, California). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Hilltop Securities Inc. Evidently, one or more investors alleged misconduct in these disputes, including that Parker made […]