The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker David Barnes AKA David Ray Barnes [CRD#: 2181896, Dallas, TX]. Evidently, investors disputed the sales practices of the securities broker, who worked for UBS Financial Services. Additionally, the securities broker discloses a regulatory enforcement action. However, Barnes denies the allegations of sales practice […]

Oppenheimer Securities Broker, Financial Advisor David Brandt Involved In Investors' Disputes The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck report for securities broker David Phillip Brandt (CRD#: 28908, St. Louis, Missouri) contains investor disputes. Evidently, Brandt is an Oppenheimer securities broker (January 2003 to present) and an Oppenheimer financial advisor (November 2007 to present). Let’s take […]

Did Your Financial Advisor Recommend Alerian Energy Infrastructure And MLP Capital Strength Portfolio Series 11 (CAMIKX)? Soreide Law Group is evaluating possible investor claims against securities brokers and financial advisors who might have sold unsuitable and misrepresented investments including Guggenheim Defined Portfolios’ Alerian Energy Infrastructure and MLP Capital Strength Portfolio Series 11 (NASDAQ: CAMIKX). Who […]

Investors Could Have Sustained Big Losses On Credit Suisse X-Links Monthly Pay 2xLeveraged Alerian MLP Index ETN Soreide Law Group is reviewing investor claims against brokers or advisors who recommended Credit Suisse X-Links Monthly Pay 2xLeveraged Alerian MLP Index ETN (NYSEArca: AMJL). Notably, AMJL closed at $1.20 on March 18, 2020--the last day it traded. […]

Aclient of CRAIG DONALDSON HODGES (CRD#: 1714289) received an award granted by a FINRA arbitration panel (Arbitration No.17-02401) against Craig Hodges, Hodges' brokerage firm, Hodges Capital Management, and his investment advisory firm, First Dallas Securities.  According to FINRA’s BrokerCheck, which is available to the public on FINRA’s website, the client alleged: BREACH OF FIDUCIARY DUTY, BREACH […]

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