FINRA sanctioned securities broker Brett Arthur Hartvigson [CRD: 2263087, San Diego, California], and investors might have sustained losses because of him, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Hartvigson worked for Independent Financial Group LLC from April 6, 2009, to October 27, 2023. Here’s more about Hartvigson’s disclosures. Financial Industry Regulatory […]

Investors might have sustained losses due to securities broker Robert Lloyd Omohundro [CRD: 2415942, Atlanta, Georgia], based on the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Omohundro has been registered with Alexander Capital L.P. in Atlanta, Georgia since May 1, 2020, and with Alexander Capital Wealth Management LLC at the same location since […]

Investors might have sustained losses because of securities broker John Calderwood Starke Sr. [CRD: 3154774, Mechanicsville, Virginia], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Starke worked for Centaurus Financial Inc. from June 26, 2015, to January 2, 2024. Continue reading to learn more about Starke's disclosures. Centaurus Financial Inc. Investor Accused […]

Investors may have incurred losses due to the actions of Armando G. Roman [CRD: 4414526, Scottsdale, Arizona], according to customer dispute disclosures found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Roman worked for Independent Financial Group LLC from July 26, 2006, to July 1, 2021. For further details on Roman's disclosures, continue reading below. […]

Soreide Law Group is reviewing potential investor claims on behalf of individuals who incurred losses from securities broker Gilbert Russell Conrad [CRD: 2746778, Lewiston, New York]. Conrad's career includes periods at Arkadios Capital from February 24, 2020, to March 14, 2022, and at Independent Financial Group LLC from October 11, 2016, to February 21, 2020. […]

FINRA BrokerCheck shows regulatory sanctions and investor claims concerning Robert C. David Jr. [CRD: 5211223, Farmington Hills, Michigan]. Evidently, he worked for Morgan Stanley from June 1, 2009, to April 2, 2019. Notably, the sanctions concern allegations of falsifying information and overconcentrating investor accounts in risky products. Also, investor disputes center around allegations of misrepresentation […]

Soreide Law Group is actively investigating potential claims on behalf of investors who may have sustained losses due to the actions of securities broker Charles Raymond Weldon (also known as C. Raymond Weldon) [CRD#: 1030659, Boca Raton, Florida]. Evidently, Weldon, who is currently registered with Independent Financial Group LLC, has a history of employment with […]

Soreide Law Group is conducting an investigation into potential claims on behalf of investors who may have suffered financial losses due to the actions of securities broker James Arthur Allen (also known as Jim Allen) (CRD#: 2287824, Chicago, Illinois). Allen has had affiliations with several employers during his career, most recently with Oppenheimer & Co. […]

Soreide Law Group is currently investigating potential claims on behalf of investors who may have sustained financial losses due to the actions of Eileen Law Cure (also known as Eileen Law Judice and Eileen Hall Klein) (CRD: 2224269, Nederland, Texas). Evidently, Cure was previously registered as a financial advisor and broker, and she was most […]