Soreide Law Group is investigating possible investor claims against securities broker Kaival Patel AKA Kaival Patel [CRD#: 4470522, Hackensack, NJ]. Notably, New Jersey Bureau Securities sanctioned the securities broker, who worked for Stifel Nicolaus Company. Allegedly, Patel was sanctioned because he was barred by FINRA. Here is a brief summary New Jersey Bureau Securities’ allegations […]

Investors have come forward with complaints about securities broker John Mateyko AKA John R. Mateyko [CRD#: 3275621, Rolling Meadows, IL]. Evidently, the securities broker, who worked for World Equity Group, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, World Equity Group clients allege that Mateyko made unsuitable transactions, made misrepresentations, and failed […]

Soreide Law Group is investigating possible investor claims against securities broker Daniel Lauletta AKA Daniel James Lauletta [CRD#: 2659123, Cleveland, OH]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for MSI Financial Services. Evidently, investors allege sales practice violations in these disputes, including […]

Soreide Law Group is investigating possible investor claims against securities broker Mark Kemp AKA Mark Alan Kemp [CRD#: 2057200, Corpus Christi, TX]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for McNally Financial Services Corp. Evidently, investors allege sales practice violations in these […]

Investors have come forward with complaints about securities broker Jimmy Driggers AKA James Yang Driggers and Jim Driggers [CRD#: 1359593, Sarasota, FL]. Evidently, the securities broker, who worked for Morgan Stanley Smith Barney, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Morgan Stanley Smith Barney clients allege that Driggers made unauthorized transactions. […]

Soreide Law Group is investigating possible investor claims against securities broker Stephen Coma AKA Stephen Robert Coma [CRD#: 1414147, Charlotte, NC]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Hilltop Securities. Evidently, investors allege sales practice violations in these disputes, including that […]

Investors have come forward with complaints about securities broker Matthew Buchsbaum AKA Matthew Stern Buchsbaum [CRD#: 2220565, New York, NY]. Evidently, the securities broker, who worked for UBS Financial Services, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, UBS Financial Services clients allege that Buchsbaum made unsuitable transactions and misrepresentations. For more […]

Investors have come forward with complaints about securities broker Gary Begnaud [CRD#: 865927, Mt. Laurel, NJ]. Evidently, the securities broker, who worked for Merrill Lynch Pierce Fenner Smith, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Merrill Lynch Pierce Fenner Smith clients allege that Begnaud made unauthorized transactions. For more on these […]

Soreide Law Group is investigating possible investor claims against securities broker Travis John Wolfe [CRD#: 5851265, Downers Grove, IL]. Wolfe has worked for Ausdal Financial Partners since 2016 and Purshe Kaplan Sterling Investments from 2014-2015. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that clients of Ausdal Financial Partners and Purshe Kaplan Sterling disputed the […]