FINRA BrokerCheck contains allegations of sales practice violations by securities broker Harpreet Singh Mangat [CRD#: 4442530, Princeton, New Jersey]. Evidently, clients disputed the sales practices of the securities broker, who worked for Ameriprise Financial Services. However, Mangat denies the allegations. Read on to learn more. Ameriprise Financial Services Client Accuses Harpreet Mangat Of Breach Of […]

Soreide Law Group is investigating possible investor claims against securities broker Alexander Steven Batt [CRD#: 2967019, Vero Beach, Florida]. Specifically, FINRA BrokerCheck discloses that investors disputed the sales practices of the securities broker. Evidently, he worked for Merrill Lynch Pierce Fenner Smith Incorporated. Supposedly, one or more clients allege sales practice violations in these disputes. […]

Investors have come forward with complaints about securities broker Stephen Paul Courtney [CRD#: 1141394, Pasadena, California]. Evidently, the securities broker, who worked for Stifel Nicolaus Co., discloses investor disputes on FINRA BrokerCheck. Notably, one or more clients allege omissions, misrepresentations, unsuitable transactions, and negligence. For more on these disclosures about Courtney, see below. However, please […]

FINRA reports important information regarding securities broker Roger Allan Duval [CRD#: 2503718, Bellevue, Washington]. Not only has FINRA sanctioned Duval, but one or more investors disputed the sales practices of the securities broker at Pruco Securities and MML Investors Services. However, Duval denies the allegations. Read on to learn more. FINRA Bars Duval For Conversion […]

Soreide Law Group is examining potential investor disputes concerning securities broker Marlyn Leroy McClain, aka Marlyn McClain and Marylou McClain (CRD#: 325415, Elkhorn, Nebraska). Evidently, McClain joined NYLife Securities LLC as a securities broker in October 1982. Currently, BrokerCheck shows that four investors filed disputes concerning suitability and representations relating to insurance transactions. Here's a […]

The Financial Industry Regulatory Authority (FINRA) BrokerCheck report on Lisa Ann Brumm, aka Lisa Ann Moon (CRD#: 2834764, Portland, Oregon), contains two investor disputes and a regulatory action. Supposedly, the investor disputes from 2017-2019 concern Brumm's registrations at AXA Advisors, who is now known as Equitable Advisors. The regulatory action, which FINRA brought in 2021, […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows important information about securities broker Robert Hayes Hoffmann (CRD#: 4008798, Indianapolis, Indiana). Evidently, Hoffmann worked for securities firms Robert W. Baird & Co. Incorporated, Northwestern Mutual Investment Services, LLC, Woodbury Financial Services, Inc., and Thurston, Springer, Miller, Herd & Titak, Inc. Notably, at least 4 investors complained about […]

Soreide Law Group is investigating potential investor disputes pertaining to securities broker Vincent Leonard Petrangelo (CRD#: 2866580, Springfield, Massachusetts). Evidently, Petrangelo worked for securities firms NYLife Securities, Morgan Stanley, Raymond James & Associates (2006 to 2018 as both financial advisor and securities broker), and Ameriprise Financial Services (2018 to present). Notably, six investors disputed Petrangelo's […]

Soreide Law Group shares important information below concerning securities broker Xiangyu Yu Zhang, who is also known as Sean Zhang (CRD#: 5050282, Alhambra, California). Namely, Financial Industry Regulatory Authority (FINRA) BrokerCheck shows that Zhang has 14 disclosures, and 10 of them concern investment disputes relating to suitability. In addition, FINRA sanctioned Zhang twice, including barring […]