Soreide Law Group is currently investigating potential claims on behalf of investors who may have sustained financial losses due to the actions of Brandon Boyd Hanna [CRD#: 3225573]. Evidently, Hanna is a securities broker and financial advisor based in Minneapolis, Minnesota, and his registration history includes affiliations with Pruco Securities LLC [since February 8, 2018] […]

Soreide Law Group is investigating possible investor claims against Gustavo Santos Miramontes (CRD: 2338966, Los Angeles, California) and his sale of Mullen Automotive Inc. (NASDAQ: MULN), among other securities. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Oppenheimer Co. Inc. Not only […]

Investors complained about securities broker Chad Edward Allen (CRD: 2712784, New York, New York). Notably, the securities broker, who worked for Oppenheimer Co. Inc., disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Namely, Oppenheimer Co. Inc. clients allege that Allen made misrepresentations and unsuitable recommendations, among other sales practice violations. For more on […]

Soreide Law Group is investigating possible investor claims against securities broker Stephen Whitman AKA Steve Whitman [CRD#: 2230369, Chesterfield, MO]. Notably, FINRA sanctioned the securities broker, who worked for Oppenheimer Co. Allegedly, Whitman failed to provide information and documents to FINRA when it investigated possible violations of FINRA rules. Here is a brief summary FINRA’s […]

Investors have come forward with complaints about securities broker David Jonathon Feigeles [CRD#: 1530561, Melville, NY]. Feigeles worked for Oppenheimer & Co. Inc. from 2003-Present and CIBC World Markets Corp from 2000-2003. Evidently, the securities broker discloses Oppenheimer investor disputes on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Specifically, one or more Oppenheimer clients allege that […]

Oppenheimer Securities Broker Dennis Ayre Barred By FINRA And Involved In Investor Disputes About Foresight Energy LP Stock Transactions Soreide Law Group is reviewing potential investor lawsuits against securities broker Dennis Phillip Ayre (CRD#: 5365176, Beverly Hills, California). Evidently, Ayre, who worked for broker-dealers including Hilltop Securities (2019 to 2020), Oppenheimer Co. Inc. (2014 to […]

Cetera Advisor Networks Discharges Kirk Knollman Over Discretionary Trading Allegations The Financial Industry Regulatory Authority (FINRA) contains important disclosures concerning securities broker Kirk William Knollman (CRD#: 2089445, Loveland, Ohio). Notably, Cetera Advisor Networks LLC discharged him as a securities broker. Also, two investor disputes allege unsuitable trading. One concerns Knollman’s actions at Cetera, while the […]

Oppenheimer Investors File Disputes Alleging Sales Practice Violations By Securities Broker Jeffrey Warren Soreide Law Group provides you with the following update regarding securities broker Jeffrey Warren (CRD#: 2707969, Boca Raton, Florida). It appears that as of May 28, 2021, FINRA barred Warren from acting as a securities broker or associating with a FINRA-member firm. […]

Horizon Private Equity III LLC Losses? Soreide Law Group is reviewing whether to bring lawsuits on behalf of those who invested in Horizon Private Equity III LLC, operated by John Justin Woods (CRD#: 1949233, Atlanta, Georgia). Notably, John Woods, who worked as an Oppenheimer Co. Inc. securities broker and financial advisor (January 2003 to December […]