Breach Of Fiduciary Duty Alleged By Clients Of Barred Broker Greg McKinney Two more investor disputes have surfaced on the FINRA BrokerCheck Report for James Gregory McKinney (CRD#: 2100850, Tulsa, Oklahoma). Notably, FINRA barred McKinney as a stockbroker for failing to testify regarding his alleged sales practice violations. Not only that, but clients have filed […]

Centaurus Clients Indicate Broker Ricky Mantei Breached Fiduciary Duty The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of sales practice violations by Ricky Alan Mantei (CRD#: 1098981, Lexington, South Carolina). Specifically, the financial advisor, who worked for firms JP Turner & Company, LLC (March 2010 to June 2015) and Centaurus Financial, Inc. (May 2015 […]

Chesapeake Energy Corp Filing Chapter 11 Bankruptcy Soreide Law Group is reviewing possible investor actions alleging unsuitability, misrepresentation and other sales practice violations against securities brokers and financial advisors who recommended investments in Chesapeake Energy Corp. Namely, on June 28, 2020, Chesapeake Energy Corp, who is known as a large shale-gas company, filed for Chapter […]

Brokers, Advisors Could Have Made Bad Recommendations About FS KKR Capital Corp II (NYSE: FSKR) Soreide Law Group is reviewing potential investor claims of unsuitable sales and misrepresentations by financial advisors relating to FS KKR Capital Corp II (NYSE: FSKR). Here's what you need to know. Who Is FS KKR Capital Corp II? Evidently, FS […]

Broker Jason LaBelle Allegedly Misrepresented Promissory Note Details Soreide Law Group is reviewing possible investor claims against securities broker Jason C. LaBelle (CRD#: 5654529, Pittsfield, Massachusetts). Namely, FINRA issued a suspension and a fine to the former LPL Financial securities broker for his outside business activities. Not only that, but at least four clients filed […]

UBS Clients Take Issue With Matt Buchsbaum's Options Overlay Strategy Recommendation Soreide Law Group is reviewing possible investor claims against broker Matthew Stern Buchsbaum (CRD#: 2220565, New York, New York). According to FINRA BrokerCheck, a number of his clients filed disputes about his sales practices. In fact, clients suggest that Buchsbaum placed them in unsuitable […]

Broker David Hicks Allegedly Sold Unsuitable REITs Investors have come forward with complaints alleging sales practice violations by securities broker David Arthur Hicks (CRD#: 733045, Baltimore, Maryland). Namely, at least three investors indicated that their losses were caused by the securities broker, who worked for H. Beck, Inc. until 2016 when he joined Triad Advisors, […]

Clients Indicate Broker John Stapleton Sold Unsuitable Investments Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows troubling information regarding securities broker John Joseph Stapleton (CRD#: 2791194, Garden City, New York). Namely, five investors brought lawsuits regarding the broker, who has been a Spartan Capital Securities broker since 2015. These disputes suggest that Stapleton […]

Broker James Kirchner Allegedly Sells Unsuitable Investments Soreide Law Group is reviewing possible investor claims of sales practice violations by broker James R. Kirchner (CRD#: 2852217, Chicago, Illinois). Evidently, seven investors brought claims about the broker, who worked for firms David A. Noyes & Company (2014 to 2018), IFS Securities (2019) and Cabot Lodge Securities […]