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. […]

Investors have come forward with complaints about securities broker Marc Jacob Jacobson (CRD:  1908557, Northbrook, IL). Evidently, the securities broker, who worked for Sagepoint Financial Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Sagepoint Financial Inc. clients allege that Jacobson made misrepresentations. For more on these disclosures about Jacobson, see below; […]

Soreide Law Group is investigating possible investor claims against securities broker Brent Devon Hablutzel (CRD:  4749339, Greenwood Village, CO). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Merrill Lynch Pierce Fenner Smith Incorporated. Evidently, one or more investors alleged that Hablutzel engaged […]

Investors have come forward with complaints about securities broker Emilio Guajardo Jr. (CRD:  4871764, The Woodlands, TX). Evidently, the securities broker, who worked for BBT Securities LLC, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, BBT Securities LLC clients allege that Guajardo made misrepresentations. For more on these disclosures about Guajardo, see […]