Wells Fargo, SunTrust Investors File Disputes About Securities Broker Raul Benitez The Financial Industry Regulatory Authority (FINRA) discloses through BrokerCheck that investors filed disputes about securities broker Raul Jorge Benitez (CRD#: 4457185, Aventura, Florida). Particularly, four investors filed complaints, and allegations in one or more of them include misrepresentation and suitability. Here’s more on these […]

FINRA Bars Broker Dan Jossen, And Investors File Disputes About His Life Insurance, Annuity Sales The Financial Industry Regulatory Authority (FINRA) declared on June 25, 2021 that it has barred securities broker Daniel “Dan” E. Jossen (CRD#: 5463761, Bethesda, Maryland) – the NYLife Securities broker – over allegations of Jossen’s sales practice violations. Not only […]

FINRA Bars Robert Escobio Per NAC Decision The Financial Industry Regulatory Authority (“FINRA”) barred Robert Juan Escobio – the former Southern Trust Securities CEO (CRD#: 703813, Miami, Florida). This bar means that Escobio cannot be a FINRA-member securities broker or associate with those firms. Other regulatory actions are reported on this securities broker’s record too. […]

Concorde Investment Services Clients Dispute DPP, REIT Sales Practices Of Broker Richard Rodriguez The Financial Industry Regulatory Authority (“FINRA”) reports six investor disputes on the record of securities broker Richard Anthony Rodriguez Jr. (CRD#: 2973254, Fruitland Park, Florida). It appears that one or more of these investors alleges that Rodriguez’s actions at Charles Schwab and […]

Securities Broker Christopher Hildebrandt Involved In Investor Disputes, Sanctioned By FINRA Soreide Law Group has new information to share with you in regard to securities broker Christopher Thomas Hildebrandt (CRD#: 1318476, Cape May Court House, New Jersey). Namely, the securities broker, who worked for securities firm Principal Securities Inc. from March 2003 to November 2018, […]

FINRA Investigating LPL Broker Mike Lancaster The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Michael “Mike” Joseph Lancaster (CRD#: 1353552, Tampa, Florida). Namely, the securities broker, who worked for LPL Financial LLC from May 2011 to February 2021, appears to be under FINRA investigation relating to an investor complaint. […]

Securities Broker Mike Patatian Involved In Investor Disputes, Facing Disciplinary Action Soreide Law Group provides you with the following update regarding securities broker Megurditch “Mike” Patatian (CRD#: 4047060, Charlotte, North Carolina). Specifically, the securities broker, who worked for Western International Securities Inc. from April 2013 to April 2020, faces a FINRA complaint containing accusations of […]

Investors File Disputes About Securities Broker Jeff Meyers The Financial Industry Regulatory Authority (“FINRA”) reports six disclosures on the BrokerCheck record of securities broker Jeffrey “Jeff” Gerard Meyers (CRD#: 2192759, Overland Park, Kansas). One of these disputes concerns Meyers’ sales practices at Cetera Advisor Networks, where he works as a securities broker since 2019. It […]

BBVA, Chase Clients File Disputes About Securities Broker Brian Bates The Financial Industry Regulatory Authority (“FINRA”) reports that investors filed disputes about Brian Robert Bates (CRD#: 2318413, Chandler, Arizona). Evidently, Bates presently works for BBVA Securities as securities broker, and he works for PNC Managed Account Solutions as financial advisor. Let’s take a closer look […]