Securities Broker Viqas Akhtar Involved In National Securities Corp Client Dispute About Private Placement Suitability The Financial Industry Regulatory Authority (FINRA) reports new disclosures concerning securities broker Viqas Akhtar (CRD#: 5624412, Miami, Florida). Evidently, Akhtar is involved in seven investor disputes alleging sales practice violations such as unsuitable transactions. Six of these disputes concern Akhtar’s […]

GWG Is a TOTAL Loss, Call Us To Begin Your Recovery! Soreide Law Group is investigating prospective investor lawsuits against financial advisors that recommended GWG Holdings Inc. L Bonds to investors. Notably, GWG Holdings failed to make required principal and interest payments to investors last month. Here’s more about GWG Holdings L Bonds, including how […]

Client Of United Planners Financial Services Takes Issue With Broker Pat Vitucci's Variable Annuity Sales The Financial Industry Regulatory Authority (FINRA) contains new disclosures concerning securities broker Pasquale “Pat” Vitucci (CRD#: 2290163, Walnut Creek, California). It appears that 21 investors filed disputes alleging sales practice violations by the securities broker. FINRA BrokerCheck shows that Vitucci […]

Securities Broker Paul Antevy Involved In FMSbonds Client Disputes The Financial Industry Regulatory Authority (FINRA) contains new information concerning securities broker Paul Itzchak Antevy (CRD#: 2713105, North Miami Beach, Florida). It appears that Antevy joined FMSbonds Inc. in March 2003, and two clients of FMSbonds disputed Antevy’s sales practices. In addition, Antevy is involved in […]

Raymond James Clients, Morgan Keegan Clients File Investment Disputes About Securities Broker Shirley Washam Soreide Law Group has new information to share with you in regard to securities broker Shirley Ellen Washam (AKA Shirley Mazzanti and Shirley Davis) (CRD#: 2166419, Russellville, Arizona). Evidently, six investors complained about her sales practices, and one of those disputes […]

Cetera Investment Services Client Alleges Sales Practice Violation By Broker John Broughton The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker John Charles Broughton (CRD#: 2362478, Gross Pointe Woods, Michigan). Specifically, four investors filed disputes about Broughton. One of those investors filed a claim in July 2020 concerning Broughton’s actions at Cetera […]

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 […]