Oppenheimer Securities Broker, Financial Advisor David Brandt Involved In Investors' Disputes The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck report for securities broker David Phillip Brandt (CRD#: 28908, St. Louis, Missouri) contains investor disputes. Evidently, Brandt is an Oppenheimer securities broker (January 2003 to present) and an Oppenheimer financial advisor (November 2007 to present). Let’s take […]

Suitability The Focus Of Allied Millennial Partners Investor's Dispute Involving Broker Matthew Platnico Soreide Law Group comes to you with an update regarding investment disputes involving securities broker Matthew Eric Platnico (CRD#: 2102086, New York, New York). It appears that Platnico worked for Oppenheimer as financial advisor and securities broker. Now, he works for Millennial […]

Investors Of Cantella And Oppenheimer File Disputes About Broker David Pawloski It appears through Financial Industry Regulatory Authority (“FINRA”) BrokerCheck that there are six investors who brought disputes about securities broker David Pawloski (CRD#: 1438717, Red Bank, New Jersey). Evidently, Pawloski worked for Oppenheimer Co. from 2002 to 2018 and he joined Cantella Co. as […]

Oppenheimer Clients File Investment Disputes About Michael Greenfield Soreide Law Group is reviewing whether to bring possible investor lawsuits against securities broker Michael Robert Greenfield (CRD#: 5406611, Boca Raton, Florida). Namely, Financial Industry Regulatory Authority (“FINRA”) reports that eight investors filed complaints or FINRA Arbitration Claims in regard to his sales practices. These disputes allege […]

Oppenheimer Broker David Krumrey Allegedly Caused Investor Losses The investment loss recovery team at Soreide Law Group provides you with this Investor Alert in regard to securities broker David Wayne Krumrey (CRD#: 4121845, The Woodlands, Texas). The securities broker, who worked for Oppenheimer from 2009 to 2017, is targeted in at least 6 investor disputes. […]

Broker Dennis Ayre Involved In Disputes Over Foresight Energy Investments Soreide Law Group is investigating possible investor claims to be brought against securities broker Dennis Ayre (CRD#: 5365176, Beverly Hills, California). Notably, seven investors have come forward to dispute the actions of Ayre, who worked for Merrill Lynch, Oppenheimer (2014 to 2017) and Hilltop Securities […]

Broker Eric Roark Supposedly Fails To Follow Instructions The Financial Industry Regulatory Authority (“FINRA”) reports alarming allegations with respect to Eric Travis Roark (CRD#: 4177967, New York, New York). Not only has Ameriprise Financial Services disaffiliated with the securities broker, but two of Roark’s clients also complained about him. These disputes raise questions as to […]

FINRA Issues Sanction To Brian Engstrom For Unsuitable UIT Trades The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to Oppenheimer securities broker Brian Engstrom (CRD#: 1838926, Pensacola, Florida). Not only has the financial industry watchdog sanctioned Engstrom via a three month suspension and $5,000 fine, but Oppenheimer disaffiliated with him following allegations […]

Broker Terrence Bonk Allegedly Caused Investor Losses Soreide Law Group is reviewing possible investor claims against securities broker Terrence Edward Bonk (CRD#: 1011846, Inter Grove Heights, Minnesota). Namely, the Financial Industry Regulatory Authority (“FINRA”) suspended the prior Feltl & Company securities broker until December 1, 2020 and issued him a $10,000 fine for borrowing money […]