Raymond James Broker John Howard Allegedly Sold Bad REITs Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) indicates through BrokerCheck that investors filed disputes about John Troy Howard (CRD#: 2264121, Birmingham, Alabama). The securities broker, who joined Raymond James & Associates, Inc. on February 13, 2013, allegedly breached a fiduciary duty to his clients and […]

Money Concepts Broker Christopher Puffer Allegedly Breaches Fiduciary Duty In Connection With Alternative Investment Sales Have you invested with Christopher Puffer [CRD#: 2878141, Louisville, Kentucky]? Notably, the securities broker, who joined Money Concepts Capital Corp. on October 27, 2006, discloses on FINRA BrokerCheck that at least three of his clients challenged his sales practices. In […]

SHAWN BURNS Losses? Soreide Law Group is reviewing possible investor claims against Salomon Whitney Financial securities broker Shawn Burns (CRD#: 3138114, Farmingdale, New York). Evidently, Burns’ Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Report contains thirty-two disclosures regarding regulatory actions and client disputes. The broker, who FINRA barred August 28, 2017 for failing to respond to […]

GEORGE CRAIG MERHOFF Barred By FINRA The Financial Industry Regulatory Authority (“FINRA”) confirmed June 14, 2019 that it barred Cetera Advisors LLC securities broker George Craig Merhoff Jr. (CRD#: 2918171, Klamath Falls, Oregon) from the securities industry. Evidently, Merhoff executed Letter of Acceptance, Waiver, and Consent (“AWC”) #:2018057331001 on June 3; FINRA accepted it June […]

JOHN RUSSELL Cause Your Investment Losses? Soreide Law Group is reviewing possible investor claims against Stifel, Nicolaus & Company Incorporated  (“Stifel Nicolaus”) broker John Russell (CRD#: 728702, Clayton, Missouri). Russell, a securities representative for Stifel Nicolaus since November 18, 1988, reports three client disputes on his Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Report. Here is […]

INVESTOR ALERT: Customer Dispute About SAGEPOINT’S STEPHEN MATTHEWS Stephen Matthews (CRD#: 1878065, Dublin, Ohio) is a general securities representative of SagePoint Financial, Inc. According to Stephen Matthews’ Financial industry Regulatory Authority (FINRA) BrokerCheck Report, Stephen Matthews, who has been with SagePoint Financial, Inc. since August 16, 2013, is the subject of an investor’s dispute. Here […]

Losses from NEWBRIDGE SECURITIES CORPORATION, JESSE KRAPF? Soreide Law Group is evaluating possible claims on behalf of those who invested with Newbridge Securities Corporation securities broker Jesse Krapf (CRD#: 5467277, McDonough, Georgia). Evidently, Jesse Krapf worked at the firm’s McDonough, Georgia offices between February 12, 2016 and February 21, 2019. Evidently, Financial Industry Regulatory Authority […]

INVESTOR ALERT: Accelerated Capital Group Customer Dispute Involving Aaron Brodt Soreide Law Group is reviewing possible claims of unsuitability against Aaron Paul Brodt (CRD#: 5017914, Scottsdale, Arizona), an Accelerated Capital Group securities representative. Apparently, Brodt’s Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Report shows that four customers complained about him. For example, take a look at […]

FINRA Bars Craig Scott Broker Edward Beyn For Excessive Trading, Churning Edward Beyn (CRD#: 5406273, Syosset, New York) is an ex Craig Scott Capital securities broker who FINRA barred from the securities industry. Specifically, on January 29, 2019, National Adjudicatory Council (“NAC”) issued a Decision in Matter #2015044823501, affirming a July 31, 2017 Extended Hearing […]