Soreide Law Group is investigating possible investor claims against securities broker Ed Maklouf (also known as Ahmad Mohamed Maklouf) [CRD: 6092943, New York, NY]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosed that investors complained about the securities broker, who worked for Spartan Capital Securities LLC. Notably, investors allege sales practice violations in these disputes, […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Doug Maurer (also known as Aaron Douglas Maurer) [CRD: 3007121, White Plains, NY]. Not only has FINRA sanctioned Maurer for selling away, but investors complained about the securities broker. However, Maurer denies the allegations. Read on to learn more about the allegations against […]

Investors have come forward with complaints about securities broker Cheryl Young (also known as Cheryl Lynn Young and Cheryl Lynn Sitze) (CRD:  3065471, Incline Village, NV). Evidently, the securities broker, who worked for Morgan Stanley, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Morgan Stanley and Ameriprise Financial Services clients allege that […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker John Anthony Sommo (CRD:  3141638, New Haven, CT). Evidently, investors disputed the sales practices of the securities broker, who worked for UBS Financial Services Inc. Additionally, the securities broker discloses a regulatory enforcement action. However, Sommo denies the allegations of sales practice violations. […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Philip Smith (also known as Phillip Norris Smith) (CRD:  2833891, New York, NY). Evidently, investors disputed the sales practices of the securities broker, who worked for Equitable Advisors LLC. Additionally, the securities broker discloses a regulatory enforcement action. Notably, these disclosures allege Smith […]

Investors have come forward with complaints about securities broker Ariel Rivero (CRD:  4236679, Miami, FL). Evidently, the securities broker, who worked for Jefferies LLC, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, one or more investors allege that Rivero or his member firm acted in breach of fiduciary duty, failed to supervise […]

Soreide Law Group is investigating possible investor claims against securities broker Hillard Charles Rest (CRD:  858840, Irvine, CA). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for JRL Capital Corporation. Evidently, one or more investors alleged that Rest acted in breach of fiduciary […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Russ Kory (CRD:  5901185, White Plains, NY). Not only has FINRA sanctioned Kory for unsuitable recommendations, but investors disputed the sales practices of the securities broker. However, Kory denies the allegations. Read on to learn more about the allegations against Kory. Russ Kory […]

Soreide Law Group is investigating possible investor claims against securities broker Ivar Norman Jones Jr. (CRD:  2729076, San Francisco, CA). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Ameritas Investment Company LLC. Here is a brief summary of the disclosures about Jones. […]