Campfire Capital Client Alleges Damages In Dispute About Broker Sean McDevitt Soreide Law Group is examining investor claims concerning securities broker Sean Daniel McDevitt (CRD#: 2786216, Chappaqua, New York), as disclosed on FINRA BrokerCheck. Evidently, McDevitt worked as a securities broker or financial advisor for WoodRock Securities from 2015 to 2016. Also, he worked for […]

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 […]

LPL Financial Clients Allege Sales Practice Violations By Chris Black The Financial Industry Regulatory Authority (FINRA) provides new information concerning securities broker Christopher Bryan Black (CRD#: 5049080, Statesboro, Georgia). Specifically, the securities broker, who worked for Wells Fargo Clearing Services from 2013 to 2017, and LPL Financial from 2017 to 2020, is involved in investor […]

New Jersey Securities Bureau Bars John Cahill As Securities Broker, Financial Advisor Representative Soreide Law Group is looking into potential claims to bring on behalf of investors against securities broker John Joseph Cahill (CRD#: 1240551, Upper Salle River, New Jersey). Supposedly, the New Jersey Bureau of Securities revoked Cahill’s securities broker and financial advisor representative […]

Securities Broker Rand Heckler Targeted By SEC, FINRA Soreide Law Group provides you with this Investor Alert in regard to former Benjamin Jerold Brokerage I LLC securities broker Rand Alan Heckler (CRD#: 2689235, Glen Cove, New York). Notably, on September 30, 2020, SEC charged Heckler with violating securities laws. Not only that, but FINRA barred […]

LPL Broker Dain Stokes Allegedly Misappropriated Funds Investor Alert! The Securities and Exchange Commission (“SEC”) barred LPL Financial securities broker Dain Farrell Stokes (CRD#: 2960801, Bedford, New Hampshire). These sanctions come after the New Hampshire Department of State Bureau of Securities Regulation suspended his licenses and issued him a fine for seemingly misappropriating investor funds […]

Washington Securities Division Indicates Ron Hannes Misused Clients Funds The Soreide Law Group is investigating possible investor claims involving Ronald Walter Hannes (CRD#: 1462241, Spokane, Washington). Namely, the securities broker, who worked for Woodbury Financial Services from 1994 to 2019, is on the receiving end of a Washington Securities Division’s Statement of Charges alleging he […]

WARNING: Investigation Into Ameritas’ Kristian M. Gaudet’s Possible Conversion Of Customer Funds Kristian M. Gaudet (CRD#: 4190811, Cut Off, Louisiana) is a prior Ameritas Investment Corp. registered representative who Financial Industry Regulatory Authority (“FINRA”) just barred from having any association with a FINRA member. Specifically, Kristian Gaudet submitted a Letter of Acceptance, Waiver and Consent […]

FINRA, the Financial Industry Regulatory Authority Inc. has filed a complaint against Kimberly Springsteen-Abbott, the owner, chief executive and head of compliance for Commonwealth Capital Securities Corp. This firm, which is the broker-dealer arm of Commonwealth Capital Corp., employs about 22 registered reps and conducts business in private placements and direct investments. According to the […]