The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Steven M. Netzel (also known as Steve Netzel) (CRD: 2863170, Chandler, Arizona). Not only has FINRA sanctioned Netzel for unsuitable recommendations, but one or more investors disputed the sales practices of the securities broker. However, Netzel denies the allegations. Read on to learn […]

Soreide Law Group is investigating possible investor claims against securities broker Chay Thomas Lapin (CRD: 6275140, Torrance, California). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Wealthforge Securities LLC. Supposedly, one or more individuals claim that Lapin breached a fiduciary duty and […]

Soreide Law Group is investigating possible investor claims against securities broker Joshua Aaron Green (also known as Josh Green) (CRD: 4970616, New Port Richey, Florida). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Cetera Investment Services LLC. Supposedly, one or more individuals […]

Investors have come forward with complaints about Tim Russell Gerds (CRD: 2651778, Hubertus, Wisconsin). Evidently, the securities broker, who worked for JW Cole Financial Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Particularly, JW Cole Financial Inc. clients allege that Gerds engaged in unauthorized trading and charged excessive fees. For more on […]

Investors have come forward with complaints about John James Forster (CRD: 1303832, Washington, DC). Evidently, the securities broker, who worked for Merrill Lynch Pierce Fenner Smith Incorporated, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Also, a Merrill Lynch Pierce Fenner Smith Incorporated client alleges that Forster failed to act in the client's […]

Investors have come forward with complaints about David Aubrey Dunfee (CRD: 2607525, Bangor, Maine). Evidently, the securities broker, who worked for Key Investment Services LLC, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Particularly, Key Investment Services LLC clients allege unsuitable recommendations. For more on these disclosures about Dunfee, see below. Key Investment […]

Soreide Law Group is investigating possible investor claims against securities broker Robert Edward Bortz Jr. (CRD: 1018691, Waukesha, Wisconsin). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Equitable Advisors LLC. Supposedly, one or more individuals claim that Bortz made omissions. Here is […]

Soreide Law Group is investigating possible investor claims against securities broker Clemont Lee Bevill (also known as Lee Bevill) (CRD: 1790971, Quincy, Illinois). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Silver Oak Securities Inc. Supposedly, one or more individuals claim that […]

Investors have come forward with complaints about Ross L. Anderson (CRD: 5677662, Rancho Santa Margarita, California). Evidently, the securities broker, who worked for Sagepoint Financial Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Particularly, Sagepoint Financial Inc. clients allege that Anderson made unsuitable recommendations. For more on these disclosures about Anderson, see […]