Investors may have incurred losses due to securities broker James Anthony Landeros (also known as James Landeros) [CRD: 6447130, Santa Barbara, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Landeros has worked with Merrill Lynch, Pierce, Fenner & Smith Incorporated since April 10, 2019, in a broker capacity, and since June 25, […]

One or more investors might have sustained losses due to securities broker Zachary Duvall Anderson [CRD: 3247098, Birmingham, Michigan], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Zachary Anderson has worked with UBS Financial Services Inc. since February 9, 2007, where he serves both as a broker and investment adviser at the firm’s […]

One or more investors apparently complained about securities broker Mark Raymond Reynolds [CRD: 1639111, Chicago, Illinois], according to disclosures through FINRA’s BrokerCheck. Evidently, Mark Reynolds has been registered with Oppenheimer Co. Inc. since August 31, 2005, working from its Chicago, Illinois, and Barrington, Illinois offices. Below, you can learn more about the disclosures involving Reynolds. […]

Investors potentially experienced sales practice violations due to securities broker Michael Joseph Hirthler (also known as Joe Hirthler) [CRD: 1370229, Pittston, Pennsylvania], according to publicly available information through FINRA’s BrokerCheck. Evidently, Hirthler registered with LPL Financial LLC since November 11, 1993, and with Jacobi Capital Management LLC since May 14, 2009. Below, you can discover […]

Investors might have sustained losses because of securities broker Trevor Alexander Fried [CRD: 5709772, Fort Lauderdale, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Trevor Fried has been registered with Morgan Stanley at its Fort Lauderdale, Florida branch since November 12, 2009, serving as both a broker and investment adviser. Keep […]

Investors potentially experienced losses due to securities broker Joel Alexander Minner [CRD: 6829281, Clarksville, Tennessee], based on disclosures on FINRA BrokerCheck. Evidently, Joel Minner worked for HD Vest Investment Services from September 27, 2017, to May 18, 2018, then for Avantax Investment Services Inc. from August 29, 2018, to August 6, 2024, and most recently […]

Dominion Portfolio Management Clients File Disputes About Broker Lance Walston Soreide Law Group comes to you with new information in regard to securities broker Lance Colby Walston (CRD#: 4440958, San Antonio, Texas). Evidently, Walston worked as a securities broker for Raymond James (2007 to 2009), LPL Financial (2009 to 2017), Dominion Portfolio Management Inc. (2017 […]

Salomon Whitney Broker Chris Fernan Allegedly Breached Fiduciary Duty, Sold Unsuitable Investments Investor Alert! The Financial industry Regulatory Authority (“FINRA”) reports alarming information about securities broker Chris Anthony Fernan (CRD#: 5896584, Melville, New York). Apparently, a large number of clients filed disputes about the securities broker, who worked for Salomon Whitney Financial (“SW Financial”) from […]

The Soreide Law Group is currently investigating claims on behalf of Kovack Securities clients who invested in options with Whitney Thatcher in the firm's Henderson, Nevada office. If you have suffered substantial losses due to Mr. Thatcher’s options recommendations, you may have a claim for recovery. Give us a call to discuss your potential claim. […]