Investors have come forward with complaints about securities broker Corey Jon Engelhard (CRD: 2788550, Plantation, Florida). Evidently, the securities broker, who worked for Morgan Stanley, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Morgan Stanley clients allege that Engelhard made unsuitable recommendations. For more on these disclosures about Engelhard, see below. Engelhard […]

Soreide Law Group is investigating possible investor claims against Gustavo Santos Miramontes (CRD: 2338966, Los Angeles, California) and his sale of Mullen Automotive Inc. (NASDAQ: MULN), among other securities. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Oppenheimer Co. Inc. Not only […]

Soreide Law Group is investigating possible investor claims against securities broker Kyle Zachary Wittgren (CRD: 6221630, Frisco, Texas). Evidently, Minnesota sanctioned the securities broker, who worked for NYLife Securities LLC. Allegedly, Wittgren made misrepresentations and falsified client information. Here is a brief summary of Minnesota’s allegations against Wittgren. Minnesota Bars Wittgren For Misrepresentation Particularly, on […]

Investors have come forward with complaints about Valentino Michael Scott (CRD: 1497615, West Hills, California). Evidently, the securities broker, who worked for Centaurus Financial Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Particularly, Centaurus Financial Inc. clients allege that Scott made misrepresentations and mismanaged investment accounts. For more on these disclosures about […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Avi Elliot Schottenstein (CRD: 5708665, New York, New York). Not only has Illinois moved for sanctions against Schottenstein, but one or more investors disputed the sales practices of the securities broker. However, Schottenstein denies the allegations. Read on to learn more about the […]

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 […]