Soreide Law Group is investigating possible investor claims against securities broker William Forrest Winchester III (also known as Bill Woods) (CRD: 4404327, Chattanooga, Tennessee). Notably, FINRA sanctioned the securities broker, who worked for Raymond James Financial Services Inc. Allegedly, Winchester borrowed client funds and engaged in an undisclosed outside business activity. Here is a brief […]

Soreide Law Group is investigating possible investor claims against securities broker Allen Hershberg (CRD: 1112312, Beverly Hills, California). Notably, FINRA sanctioned the securities broker, who worked for Morgan Stanley. Allegedly, Hershberg failed to provide information and documents to FINRA when it investigated potential FINRA rule violations governing outside business activities. Here is a brief summary […]

Soreide Law Group is investigating possible investor claims against securities broker Rosemary Vrablic (CRD: 4359776, New York, New York). Notably, FINRA sanctioned the securities broker, who worked for Deutsche Bank Securities Inc. Allegedly, Vrablic failed to respond to FINRA’s request for information. Here is a brief summary of FINRA’s allegations against Vrablic. Vrablic Sanctioned By […]

Soreide Law Group is investigating possible investor claims against securities broker Chris Stocks (CRD: 2600346, Scottsdale, Arizona). Evidently, Morgan Stanley terminated the securities broker for cause. Here is a brief summary of the allegations against Stocks. Morgan Stanley Disaffiliates With Stocks For Outside Business Activities Supposedly, on November 11, 2021, Morgan Stanley disaffiliated with Stocks. […]

Soreide Law Group is investigating possible investor claims against securities broker Daniel Pita (CRD: 6759879, Southwest Ranches, Florida). Notably, FINRA sanctioned the securities broker, who worked for NYLife Securities LLC. Allegedly, Pita failed to provide information and documents to FINRA when it investigated him. Supposedly, FINRA tried to determine if he engaged in impermissible outside […]

Soreide Law Group is investigating possible investor claims against securities broker Nickolay V. Kukekov (CRD: 4981423, New York, New York). Notably, FINRA sanctioned the securities broker, who worked for Paulson Investment Company LLC. Allegedly, Kukekov engaged in an undisclosed outside business activity. Here is a brief summary of FINRA’s allegations against Kukekov. Kukekov Sanctioned By […]

Soreide Law Group is investigating possible investor claims against securities broker Charles Paul Edward Jumet Jr. (CRD: 5958643, Memphis, Tennessee). Notably, FINRA sanctioned the securities broker, who worked for Chickasaw Securities LLC. Allegedly, Jumet engaged in an undisclosed outside business activity. Here is a brief summary of FINRA’s allegations against Jumet. Jumet Sanctioned By FINRA […]

Soreide Law Group is investigating possible investor claims against securities broker Sean Gordon (CRD: 3057652, Bloomingdale, Illinois). Notably, FINRA sanctioned the securities broker, who worked for JP Morgan Securities LLC. Allegedly, Gordon engaged in an undisclosed outside business activity. Here is a brief summary of FINRA’s allegations against Gordon. FINRA Sanctions Gordon For Outside Business […]

Soreide Law Group is investigating possible investor claims against securities broker Christopher Thomas Eriksson (CRD: 2487298, Wayzata, Minnesota). Notably, FINRA sanctioned the securities broker, who worked for Merrill Lynch Pierce Fenner Smith Inc. Allegedly, Eriksson borrowed client funds and engaged in an undisclosed outside business activity. Here is a brief summary of FINRA’s allegations against […]