Investors apparently complained about securities broker Andrew Thomas Roberson (also known as Andy Roberson) [CRD: 4143407, Walnut Creek, California], based on disclosures found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Roberson has worked for Emerson Equity LLC since August 11, 2025, as an investment adviser and since August 14, 2025, as a broker. He […]

Soreide Law Group is investigating possible investor claims against securities broker Bradley Stephen Kavanagh (CRD:  5784000, Baton Rouge, LA). Evidently, FINRA sanctioned the securities broker, who worked for Park Avenue Securities LLC. Allegedly, Kavanagh did not submit information and documents to FINRA when it investigated potential FINRA rule violations. Here is a brief summary of […]

Park Avenue Securities Allegedly Sold Unsuitable Investments Park Avenue Securities LLC (CRD#: 46173, New York, New York) is a brokerage firm regulated by Financial Industry Regulatory Authority and investment adviser firm regulated by the Securities and Exchange Commission. Soreide Law is reviewing possible investor claims of unsuitability against Park Avenue Securities LLC brokers Jason Tyler […]

Complaint Filed Against Park Avenue Securities For Poor Annuity Advice Myles Davis Thurston II (CRD#: 1810907, Maitland, Florida) has been a registered representative of Park Avenue Securities LLC since June 8, 2001. He disclosed on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck that he is subject of a customer-initiated investment-related complaint dated November 20, 2017. Customer […]

Soreide Law Group obtained the following information from FINRA’s January 2017 disciplinary report.  Soreide Law Group also has pending litigation against Park Avenue Securities, also due to alleged lack of supervision. Park Avenue Securities LLC (CRD #46173, New York, New York) was censured and fined $195,000 by FINRA for allegedly failing to enforce its Written Supervisory […]

The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, March, 2013.” David Appel (CRD #1026798, Registered Representative, Brooklyn, New York) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Appel consented to the described sanction and to the entry of FINRA's findings that […]