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 […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Antonio Almeida (also known as Tony Almeida) (CRD: 3106626, Melville, New York). Evidently, investors disputed the sales practices of the securities broker, who worked for Aegis Capital Corporation. Additionally, the securities broker discloses a regulatory enforcement action. However, Almeida denies the allegations of […]

Soreide Law Group is investigating possible investor claims against securities broker William Forrest Winchester III (also known as Bill Woods) (CRD: 4404327, Chattanooga, Tennessee). Notably, FINRA sanctioned the securities broker, who worked for Raymond James Financial Services Inc. Allegedly, Winchester borrowed client funds and engaged in an undisclosed outside business activity. Here is a brief […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Jason Nicholas Slezak (CRD: 2423323, Antioch, Illinois). Evidently, investors disputed the sales practices of the securities broker, who worked for Landolt Securities Inc. Additionally, the securities broker discloses a regulatory enforcement action. However, Slezak denies the allegations of misconduct Read on to learn […]

Soreide Law Group is investigating possible investor claims against securities broker Matthew Shaughnessy (CRD: 2457058, Henderson, Nevada). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Ameriprise Financial Services LLC. Evidently, investors allege sales practice violations in these disputes, including that Shaughnessy engaged […]