Portfolio Advisors Alliance Client Alleges Sales Practice Violations By Broker Howard Allen Soreide Law Group comes to you with important information about securities broker Howard Joseph Allen (CRD#: 2033586, New York, New York). BrokerCheck confirms that Allen worked as a securities broker for Portfolio Advisors Alliance LLC from January 2009 to December 2019. So far […]

BBVA's Lori Welborn Facing Disputes From BBVA Clients About Variable Annuity Sales The Financial Industry Regulatory Authority (FINRA) contains important information concerning the disputes involving securities broker Lori Ann Welborn (AKA Lori O’Bier and Lori Boland) (CRD#: 2344775, Richardson, Texas). It appears on BrokerCheck that six investors disputed Welborn’s sales practices, with one or more […]

Broker Sonia Balfour-Fears Involved in Merrill Lynch Investor Dispute The Financial Industry Regulatory Authority (FINRA) BrokerCheck contains new disclosures on securities broker Sonia Balfour-Fears (CRD#: 5864524, Atlanta, Georgia). Evidently, Balfour-Fears worked as a securities broker and financial advisor with Merrill Lynch Pierce Fenner Smith from 2011 to January 2021. She joined Morgan Stanley in January […]

Clients Allege Sales Practice Violations In Disputes About UBS Broker Brant Ferguson The Financial Industry Regulatory Authority (FINRA) contains new disclosures concerning securities broker Brant Christopher Ferguson (CRD#: 2230893, Dallas, Texas). Specifically, two investors filed disputes alleging sales practice violations at UBS Financial Services, who Ferguson joined in May 2019 as financial advisor and securities […]

Key Investment Services Clients Allege Misrepresentation, Unsuitable Transactions In Disputes About Broker John Milo Soreide Law Group comes to you with new information in regard to securities broker John Patrick Milo (CRD#: 1824688, Dayton, Ohio). Namely, Milo worked as a securities broker and financial advisor representative of Key Investment Services LLC (2012 to 2021). He […]

Client Files Dispute About Barred Integrity Broker Joshua Helmle Financial Industry Regulatory Authority (“FINRA”) shows new information on BrokerCheck regarding securities broker Joshua Nathan Helmle (CRD#: 2195760, Monterey Park, California). Specifically, a client filed a dispute alleging sales practice violations. This comes after Integrity Brokerage LLC permitted Helmle to resign and after FINRA indefinitely barred […]

Soreide Law Group Representing Potential Victims Of Northstar Bermuda Soreide Law Group is reviewing potential investor claims to bring against financial advisors and securities brokers who possibly gave unsuitable advice or committed other sales practice violations relating to Northstar Financial (Bermuda) Ltd. investment products. Let’s take a closer look at Northstar, including how Soreide Law […]

FINRA Bars Securities Broker Mike Iannarino, And A Private Client Services Investor Files A Dispute About Him Soreide Law Group provides you with an update on the FINRA BrokerCheck disclosures connected to Michael Joseph Iannarino (“Mike Iannarino”) (CRD#: 1258453, Columbus, Ohio). First, FINRA barred Iannarino for allegedly refusing to provide information and documents when it […]

Cambridge Investment Research Clients Allege Unsuitable Transactions By Securities Broker Dale Wright Soreide Law Group investigates whether to bring possible disputes on behalf of investors against securities broker Dale Edward Wright (CRD#: 1142615, Henrico, Virginia). Notably, ten investors made disputes involving Wright's sales practices. Not only that, but the Commonwealth of Virginia fined Wright $50,000 […]