Broker Shane Falcon (National Securities Corp) Faces Investor Disputes Involving Private Placements, Equities The Financial Industry Regulatory Authority (FINRA) provides important information in regard to securities broker Shane Rene Falcon (CRD#: 5626256, Miami, Florida). Evidently, Falcon worked at GunnAllen Financial and CBG Financial Group before joining National Securities Corporation. Evidently, he worked at National Securities […]

Accelerated Capital Investor Disputes Reportedly Concern Broker Tim Thelen Soreide Law Group discusses important investor-related information regarding securities broker Thelen, also known as “Tim Thelen” (CRD#: 1924966, Middletown, New Jersey). It appears that Thelen worked as a securities broker for Berthel Fisher, Next Financial Group, Accelerated Capital Group, and Aeon Capital. One or more investors […]

Broker Andrew Bransky (Stifel Nicolaus, BC Ziegler) Involved In Investor Disputes The Financial Industry Regulatory Authority (FINRA) reports that clients disputed the sales practices of securities broker Andrew J. Bransky (CRD#: 2680736, Chicago, Illinois). Evidently, Bransky worked for securities firms Principal Financial Securities, Wachovia Securities, BC Ziegler and Company, and Stifel Nicolaus and Company. Evidently, […]

Clients Of Axiom Capital Management File Disputes About Securities Broker Jennifer Ling The Financial Industry Regulatory Authority (FINRA) BrokerCheck contains recent disclosures regarding securities broker Jennifer Ling (CRD#: 3277203, New York, New York). Specifically, Ling, who worked for Axiom Capital Management between May 2015 and July 2017, faces investor disputes. Here's a closer look at […]

National Securities Corp Clients Allege Unsuitable Transactions By Securities Broker Shaun Stein According to FINRA BrokerCheck, investors challenged the sales practices of securities broker Shaun Evan Stein (CRD#: 4873578, Jersey City, New Jersey). Evidently, Stein worked for JP Turner Company LLC and National Securities Corporation. The investment disputes reported on BrokerCheck concern his actions at […]

Securities Broker John Loofbourrow Faces FINRA Sanctions, Investor Dispute Soreide Law Group is reviewing potential investor claims against securities broker John Wade Loofbourrow (CRD#: 312494, New York, New York). It appears on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck that Loofbourrow is involved in an investor dispute regarding a private placement sale. Not only that, but […]

National Securities Corporation Clients File Disputes Over Willard Pugh's Alternative Investment Transactions Soreide Law Group has new information to share with you in regard to securities broker Willard Louis Pugh (CRD#: 1757428, Boca Raton, Florida). Evidently, he worked for Dawson James Securities (2007 to 2016) and National Securities Corporation (2016 to present) as securities broker, […]

Joseph Gunnar Clients File Disputes About Securities Broker Matt Gates The investment loss recovery counsel at Soreide Law Group provide you with the following FINRA BrokerCheck details regarding securities broker Matthew “Matt” Gates (CRD#: 4727945, New York, New York). It appears that Gates worked for securities firm Joseph Gunnar Co. LLC (2009 to 2020) as […]

Joseph Gunnar Securities Broker Anthony Sica Involved In Investor Suitability Disputes Soreide Law Group brings you this update in regard to securities broker Anthony Sica (CRD#: 1332626, New York, New York). Notably, this securities broker, who worked for Joseph Gunnar And Company LLC since October 2003, is accused of sales practice violations. Specifically, Financial Industry […]