Broker Steven Maher Sanctioned, Involved In Investor Dispute Financial Industry Regulatory Authority (FINRA) discloses through BrokerCheck that it sanctioned securities broker Steven Maher (CRD#: 1011535, Oradell, New Jersey) and that an investor disputed Maher’s sales practices. Evidently, Maher worked for securities firms American General Securities Incorporated, Sagepoint Financial, and Next Financial Group. He joined American […]

Investor Brings Dispute About Securities Broker Hal Schwartz's Investment Strategy The Financial Industry Regulatory Authority (FINRA) contains important investor-related information concerning securities broker Harold Alan “Hal” Schwartz (CRD#: 841225, Winter Springs, Florida). Namely, the securities broker is involved in three investor disputes. Clients allege sales practice violations at Leaders Group or Royal Alliance. It also […]

Client Of TD Ameritrade Takes Issue With Securities Broker Kwasi Aggor's Sales Practices Soreide Law Group provides you with an update regarding securities broker Kwasi Mensah Aggor (CRD#: 4974222, Providence, Rhode Island). Evidently, the securities broker worked for firms AXA Advisors (2005 to 2007) and TD Ameritrade (2008 to 2018). Notably, FINRA barred Aggor as […]

Cuna Brokerage Services Client Voices Dispute Over Securities Broker Eric Pasquini FINRA BrokerCheck shows that investors filed disputes about securities broker Eric Stephen Pasquini (CRD#: 3176301, Lemoyne, Pennsylvania). Pasquini worked for IDS Life Insurance Company, American Express Financial Advisors, Allstate Financial Services, Cuna Brokerage Services, and Lincoln Financial Advisors Corporation before joining Cetera Investment Services […]

Broker Rafael Gonzalez Subject Of UBS Financial Investor Disputes The Financial Industry Regulatory Authority (FINRA) contains new information regarding securities broker Rafael Alberto Gonzalez (CRD#: 2096117, Coral Gables, Florida). It appears that Gonzalez worked for securities firms UBS Financial Services and Santander Securities before joining Morgan Stanley. Evidently, he is both a financial advisor and […]

Clients Of BBVA Broker Nicholas McMahan File Disputes Alleging Sales Practice Violations Investor dispute information is reported on FINRA BrokerCheck concerning securities broker Nicholas McMahan, also known as “Nick McMahan” (CRD#: 5578896, Austin, Texas). Evidently, McMahan worked for BBVA Compass Investment Solutions (2011 to 2013), BBVA Securities (2013 to 2021), and BBVA Wealth Solutions (2017 […]

Client Disputes Reported On BrokerCheck Profile Of Mark Elafros Soreide Law Group comes to you with new information in regard to securities broker Mark Lee Elafros (CRD#: 2337393, Chicago, Illinois). Evidently, Elafros worked for securities firms Madison Avenue Securities (2013 to 2016), Ausdal Financial Partners (2016 to 2018), American Trust Investment Services Advisory (2018 to […]

Investor Disputes Reported On BrokerCheck Record of Marcelo Poliak (Jeffries, Wells Fargo) The Financial Industry Regulatory Authority (FINRA) BrokerCheck shows new investor dispute information regarding securities broker Marcelo Javier Poliak (CRD#: 2465622, Miami, Florida). It appears that Poliak worked for securities firm Wells Fargo Clearing Services. He was a financial advisor and securities broker at […]

Unsuitable Transactions Alleged In Investors' Disputes About Kalos Broker Fred Baerenz Soreide Law Group provides you with information relating to securities broker Frederick “Fred” Peter Baerenz (CRD#: 2388453, Great Falls, Virginia), who worked at securities firms Pacific West Securities, Cetera Advisors, and Kalos Capital. FINRA BrokerCheck indicates that two investors filed complaints about Baerenz at […]