Soreide Law Group is investigating possible investor claims against securities broker Corrie Box (also known as Corrie Ann Mitchell) [CRD: 7221410, San Antonio, TX]. Evidently, FINRA sanctioned the securities broker, who worked for Cambridge Investment Research Inc. Allegedly, Box failed to provide information and documents to FINRA when it investigated potential FINRA rule infractions. Here […]

Soreide Law Group is investigating possible investor claims against securities broker Christopher Joseph (also known as Christopher Todd Joseph) [CRD: 6841532, Toledo, OH]. Notably, FINRA sanctioned the securities broker, who worked for Royal Alliance Associates Inc. Allegedly, Joseph engaged in an undisclosed outside business activity and securities transaction. Here is a brief summary of FINRA’s […]

Soreide Law Group is investigating possible investor claims against securities broker Jonathan Adam Stuffer (also known as Jon Stuffer) [CRD: 6015954, Staten Island, New York]. Notably, FINRA sanctioned the securities broker, who worked for J.P. Morgan Securities LLC. Allegedly, Stuffer failed to testify during an investigation into possible FINRA rule violations. Here is a brief […]

Soreide Law Group is investigating possible investor claims against securities broker Tyrone Smiles [CRD: 4370937, Newark, New Jersey]. Notably, FINRA sanctioned the securities broker, who worked for Prudential Investment Management Services LLC. Allegedly, Smiles engaged in an undisclosed outside business activity. Here is a brief summary of FINRA’s allegations against Smiles. FINRA Bars Prudential Investment […]

Soreide Law Group is investigating possible investor claims against securities broker Jorge Antonio Netto [CRD: 2432661, Miami, Florida]. Notably, FINRA sanctioned the securities broker, who worked for Boreal Capital Securities LLC. Allegedly, Netto engaged in an undisclosed outside business activity. Here is a brief summary of FINRA’s allegations against Netto. Boreal Capital Securities LLC Securities […]

Soreide Law Group is investigating possible investor claims against securities broker Edric Michael McSween [CRD: 2080810, Naples, Florida]. Notably, FINRA sanctioned the securities broker, who worked for Ameriprise Financial Services LLC. Allegedly, McSween failed to provide information and documents to FINRA when it investigated possible violations of FINRA rules. Here is a brief summary of […]

Soreide Law Group is investigating possible investor claims against securities broker Daniel Lee Bicket (also known as Dan Bicket) [CRD: 1366026, Reinbeck, Iowa]. Notably, FINRA sanctioned the securities broker, who worked for Northwestern Mutual Investment Services LLC. Allegedly, Bicket failed to testify during an investigation into possible FINRA rule violations. Here is a brief summary […]

Soreide Law Group is investigating possible investor claims against securities broker Murray Petersen AKA Todd Petersen [CRD#: 1311730, Roseville, CA]. Notably, FINRA sanctioned the securities broker, who worked for WFG Investments and SCF Securities. Allegedly, Petersen engaged in an undisclosed outside business activity and engaged in a private securities transaction. Here is a brief summary […]

Soreide Law Group is investigating possible investor claims against securities broker Michael Ohlemacher AKA Michael Burton Ohlemacher [CRD#: 5759091, Maumee, OH]. Evidently, FINRA sanctioned the securities broker, who worked for WS Brokerage Services. Allegedly, Ohlemacher engaged in an undisclosed outside business activity. Here is a brief summary FINRA’s allegations against Ohlemacher. FINRA Sanctions WS Brokerage […]