Investors might have sustained losses due to securities broker Reginald Howell Robinson (also known as Reggie Robinson and Reginal Robinson) [CRD: 1963649, Tampa, Florida], according to public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Robinson worked for Corinthian Partners, L.L.C. from August 21, 2017, to March 25, 2022, and IFS Securities from […]

One or more investors apparently complained about securities broker Rebecca Sue Gaylor (also known as Rebecca Morgan) [CRD: 1452113, Phoenix, Arizona], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Gaylor has worked for J.W. Cole Financial Inc. since September 5, 2003, and with J.W. Cole Advisors Inc. since February 22, […]

Cadaret Grant Client Alleges Unsuitable OTC Trades By Broker Gerald Dewes The Financial Industry Regulatory Authority (FINRA) contains new disclosures in regard to securities broker Gerald Roger Dewes (CRD#: 2465538, East Amherst, New York). Namely, Dewes, who used to work for securities firm Cadaret Grant Co., faces investor disputes. Not only that, but FINRA barred […]

Joseph Gunnar Securities Broker Anthony Sica Involved In Investor Suitability Disputes Soreide Law Group brings you this update in regard to securities broker Anthony Sica (CRD#: 1332626, New York, New York). Notably, this securities broker, who worked for Joseph Gunnar And Company LLC since October 2003, is accused of sales practice violations. Specifically, Financial Industry […]

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 […]

JASON DAUGHERTY 1st Global Capital Disputes Soreide Law Group is evaluating investor disputes brought against Taylor Capital Management Inc. (also known as “TCM Securities, Inc.”) securities representative Jason Daugherty (CRD#: 4267059, Woodstock, Georgia). Notably, according to the Financial Industry Regulatory Authority (“FINRA”), at least four clients contested Daugherty’s sales practices. Here’s what they had to […]

McMillan v. Newbridge Securities, FINRA ID #12-01880 (Boca Raton, FL, 6/24/2013) - Two clients recover $983,200, including damages and interest, against a broker who allegedly stole funds from numerous accounts. THE FOLLOWING IS FROM FINRA'S WEBSITE: CASE SUMMARY Claimants asserted the following causes of action: breach of fiduciary duty; negligence; negligent supervision; violation of Article […]

Lars K. Soreide, of Soreide Law Group, PLLC, filed a FINRA arbitration in February of 2012, against National Securities Corporation alleging: negligence, negligent supervision, and breach of fiduciary duty, due to among other unsuitable investments, the sale of Roundstone Healthcare Capital Partners. Recently, Roundstone Healthcare Partners, and its affiliates, have filed a RICO suit against numerous defendants in […]