Soreide Law Group is investigating possible investor claims against Nicholas Radke (also known as Randy Radke Jr.) (CRD: 2610246, Irvine, California). Notably, an Oregon regulator sanctioned the securities broker, who worked for American Independent Securities Group LLC. Allegedly, Radke made misrepresentations and omissions of material fact. Here is a brief summary of the regulatory allegations […]

Investors have come forward with complaints about securities broker Thomas Caine Shultz (CRD:  5614228, Scottsdale, AZ). Evidently, the securities broker, who worked for Coastal Equities Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Coastal Equities Inc. clients allege that Shultz made unsuitable recommendations and failed to perform due diligence. For more […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Amanda Yvonne Berry (also known as Amanda Yvonne Coleman) (CRD:  5651609, Oklahoma City, OK). Evidently, investors disputed the sales practices of the securities broker, who worked for MML Investors Services LLC. Additionally, the securities broker discloses a regulatory enforcement action. However, Berry denies […]

Soreide Law Group is investigating possible investor claims against securities broker Peter James Fetherston [CRD: 2108610, Melville, New York]. Evidently, FINRA filed an enforcement or civil action against the securities broker, who worked for Principal Securities Inc. Allegedly, Fetherston converted funds. Here is a brief summary of FINRA’s allegations against Fetherston. FINRA Charges Peter Fetherston […]

FINRA reports important information regarding securities broker Roger Allan Duval [CRD#: 2503718, Bellevue, Washington]. Not only has FINRA sanctioned Duval, but one or more investors disputed the sales practices of the securities broker at Pruco Securities and MML Investors Services. However, Duval denies the allegations. Read on to learn more. FINRA Bars Duval For Conversion […]

The Financial Industry Regulatory Authority (FINRA) contains important information regarding securities broker David Michael Stevens (CRD#: 2830472, La Jolla, California). Evidently, Stevens worked for securities firms Northwestern Mutual Investment Services (2011 to 2013), MML Investors Services (2014 to 2015), and Park Avenue Securities LLC (2015 to 2020). It seems that FINRA barred Stevens as a […]

FINRA Suspends Keith Holcomb (MML Investor Services) Soreide Law Group comes to you with new information relating to the FINRA BrokerCheck disclosures on securities broker Keith Holcomb (CRD#: 6227200, Pawtucket, Rhode Island). Specifically, Holcomb, who worked for securities firm MML Investors Services (his employer from 2015 to 2017), faces allegations of failing to pay a […]

Investor At MML Alleges Sales Practice Violation By Broker Curt Giacobbe Soreide Law Group provides you with new information concerning securities broker Curt Giacobbe (CRD#: 2682776, Melville, New York). Notably, Financial Industry Regulatory Authority BrokerCheck shows that investors filed disputes about the securities broker, who worked for securities firm MML Investors Services from 2012 to […]

Mark Pearcy (MetLife) Involved In Disputes About Variable Annuities, Insurance Soreide Law Group has new information to share with you regarding securities broker Mark William Pearcy (CRD#: 2978026, San Diego, California). Notably, the securities broker worked for MSI Financial Services (MetLife Securities) from 1997 to 2017 as both a securities broker and a financial advisor. […]