The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Miche Jean (also known as Miche D. Jean) [CRD: 5918186, Rockville, MD]. Not only has FINRA sanctioned Jean for unauthorized transactions, but investors complained about the securities broker. However, Jean denies the allegations. Read on to learn more about the allegations against Jean. […]

Investors have come forward with complaints about securities broker Cheryl Young (also known as Cheryl Lynn Young and Cheryl Lynn Sitze) (CRD:  3065471, Incline Village, NV). Evidently, the securities broker, who worked for Morgan Stanley, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Morgan Stanley and Ameriprise Financial Services clients allege that […]

Soreide Law Group is investigating possible investor claims against securities broker Roy Budd [CRD: 34635, Little Falls, New Jersey]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Morgan Stanley Smith Barney. For example, clients alleged unsuitable recommendations. Here is a brief summary […]

Investors have come forward with complaints about securities broker Jimmy Driggers AKA James Yang Driggers and Jim Driggers [CRD#: 1359593, Sarasota, FL]. Evidently, the securities broker, who worked for Morgan Stanley Smith Barney, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Morgan Stanley Smith Barney clients allege that Driggers made unauthorized transactions. […]

Soreide Law Group is investigating possible investor claims against securities broker Ron Keith Phillips [CRD#: 2823393, Walnut Creek, CA]. Phillips has worked for Morgan Stanley since 2009 and UBS Financial Services Inc. from 2002 to 2008. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that Morgan Stanley and UBS Financial Services investors disputed the sales […]

The Financial Industry Regulatory Authority (FINRA) reports allegations of sales practice violations by securities broker Francisco Javier Valenzuela [CRD #: 2786970, Tucson, AZ]. Valenzuela worked for Morgan Stanley from 2015-2018; (2) Merrill Lynch Pierce Fenner & Smith from 2010-2015; and (3) Chase Investment Services Corp from 2005-2010. Evidently, a Morgan Stanley investor disputed Valenzuela’s sales […]

The Financial Industry Regulatory Authority (FINRA) reports allegations of sales practice violations by securities broker Nikolay Zotenko [CRD #: 6334022, Beverly Hills, CA]. Zotenko worked for Morgan Stanley from 2015-2021. Notably, FINRA sanctioned the securities broker. However, Zotenko denies the allegations. Read the following summary of the FINRA enforcement action to learn more about the […]

Soreide Law Group is investigating possible investor claims against securities broker Thomas Wilson Murray [CRD#: 1186933, Pasadena, California]. Specifically, FINRA BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Wachovia Securities, First Union Securities, and Morgan Stanley. Evidently, one or more clients allege sales practice violations in these disputes, […]

Broker Barry Garapedian (Morgan Stanley) Faces Investor Disputes The Financial Industry Regulatory Authority (FINRA) provides important information in regard to securities broker Barry Lee Garapedian (CRD#: 1039257, Westlake Village, California). It appears that the disclosures involving Garapedian mainly concern his employment at Morgan Stanley. He worked at the firm’s CA offices from 2009 to 2021. […]