MICHAEL VETERE Losses? Investors are disputing the sales practices of TFS Securities Inc. general securities representative Michael Vetere (CRD#: 4275271, Bayside, New York), who registered through TFS Securities Inc. from April 28, 2016 to June 27, 2018. Notably, the Financial Industry Regulatory Authority (“FINRA”) shows on BrokerCheck that since February 12, 2018, at least three […]

STEPHEN WOOD Investigated BY FINRA The Financial Industry Regulatory Authority (“FINRA”) announced April 2, 2019 that it made a “preliminary determination” to recommend the Department of Enforcement discipline securities broker Stephen Wood (CRD#: 1308917, Warren, New Jersey). Evidently, Wood – a UBS Financial Services securities representative from August 12, 2013 to May 26, 2017 – […]

MARK BARRAND Allegedly Misrepresented Investments Investors have disputed the sales practices of securities broker Mark Barrand (CRD#: 4586528, Lone Tree, Colorado). Namely, the Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Report for Mark Barrand shows that at least five investors filed “customer disputes” about him. These disputes, summarized below, suggest that Barrand sold unsuitable and misrepresented […]

ARSENAL ENERGY HOLDINGS LLC (“AEH”) LOSSES? Soreide Law Group is reviewing possible claims against stockbrokers and financial advisors who placed investors in Arsenal Energy Holdings LLC (“AEH”) (formerly known as Mountaineer Energy Holdings). AEH is the parent company of Arsenal Resources – a natural gas producer in Marcellus Shale. On February 4, 2019, Arsenal Energy […]

Misrepresentation Claims Involving Raymond James Broker JOHN NORDEN Soreide Law Group is reviewing possible claims of annuity misrepresentation against Raymond James Financial Services securities broker John Norden (CRD#: 2272003, Honolulu, HI), who worked at the firm from October 15, 2009 to June 1, 2018. Norden shows on his Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Report […]

WARNING! Customer Disputes Involving Key Investment Services, DEBORAH CALDER Deborah Calder (CRD#: 4137234, Portland, Oregon) is a previous securities broker of Key Investment Services LLC. She worked in Key Investment Services’ Portland, Oregon offices from March 26, 2014 to March 3, 2017.  Apparently, the Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Report for Calder shows that […]

Customers Allege Bad Sales Practices By Merrill Lynch Broker JUAN BARRERAS Juan Guillermo Herrans Barreras (CRD#: 1742910, Miami, Florida) is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated (“Merrill Lynch”). Mainly, the advisor, who has been registered with the firm since June 21, 2010, has some alarming disclosures on his FINRA BrokerCheck […]

Vanguard Natural Resources (OTCMKTS: VNRR) Losses? Soreide Law Group is investigating claims on behalf of investors who were advised by their broker to purchase Vanguard Natural Resources Inc. (OTCMKTS: VNRR), a company headquartered in Houston, Texas concentrating on acquiring, producing and developing oil and natural gas properties. Vanguard Natural Resources Files For Chapter 11 Bankruptcy […]

Customer Contends MML Investors Omitted Annuity Fees Andrew Charles Berleth (CRD #1476284, Walnut Creek, California) has been a registered representative of MML Investors Services LLC since November 17, 2003. He disclosed on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck that his activities have given rise to a customer-initiated investment-related written complaint dated June 11, 2018. MML […]