Investors potentially experienced sales practice violations by securities broker Erick George Revelle (also known as Erick Kuebler) [CRD: 2319437, Dallas, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Erick Kuebler has been registered with Sanders Morris LLC as a securities broker since November 22, 2016, and as a financial advisor since December […]

Soreide Law Group is investigating potential investor claims involving sales practice violations by securities brokers and financial advisors related to S.T.L. Resources Drilling Fund D L.P. This investment is a private oil and gas drilling program sold through a Regulation D offering and tied to energy exploration and production activities. There is adverse information associated […]

Investors might have sustained losses due to securities broker John Sandor Lemak [CRD: 845891, Dallas, Texas], according to disclosures found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, John Lemak has worked for Axiom Capital Management Inc. since February 18, 2015, and for Sandor Advisors LLC since July 23, 2002. Read on to discover more […]

Investors may have incurred losses because of securities broker Michael Rolf Siek [CRD: 2072767, New York, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Siek worked for Aegis Capital Corp. from December 8, 2014 to April 3, 2024, and joined Dominari Securities LLC on March 4, 2024. See the following information […]

Investors may have incurred losses due to securities broker Yitzchak I. Prag [CRD: 7221045, Red Bank, New Jersey], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Yitzchak Prag worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated from November 3, 2020, to May 23, 2024. Read on to find out more about the […]

Investors might have sustained losses due to securities broker Jean-Pierre Daniel Gobic (also known as Jeanpierre Gobic) [CRD: 4380699, Sarasota, Florida], according to disclosures on FINRA BrokerCheck. Evidently, Jean-Pierre Gobic has worked for Morgan Stanley in Sarasota, Florida, since March 5, 2010, as a broker, and since March 15, 2010, as an investment adviser. Check […]

One or more investors apparently complained about securities broker Dwight Kristopher Kay [CRD: 5376903, Torrance, California], based on disclosures on FINRA BrokerCheck. Evidently, Dwight Kay worked for FNEX Capital LLC starting January 21, 2022, and previously was registered with Growth Capital Services Inc. from July 23, 2020, to January 14, 2022, and with WealthForge Securities […]

One or more investors apparently complained about securities broker Christopher William Campbell (also known as Chris Campbell and Christopher W. Campbell) [CRD: 5597534, Buffalo, New York], based on disclosures through FINRA’s BrokerCheck. Evidently, Campbell has been registered with Raymond James Financial Services Inc. since November 6, 2017, and with Raymond James Financial Services Advisors Inc. […]

One or more investors apparently complained about securities broker Kelly Eugene Dale [CRD: 2711340, Atlanta, Georgia], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Dale has been registered with American Capital Partners LLC (CRD#: 119249), located at 6000 Lake Forrest Drive N.W., Suite 325, Atlanta, Georgia, since February 1, 2013. Evidently, Kelly Dale […]