Broker Thomas Laws Involved In Avantax Investors' Complaints Another investor appears to have disputed the sales practices of securities broker Thomas H. Laws (CRD#: 4494448, Silver City, New Mexico). The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck report on Laws shows that two investors disputed his sales practices. Not only that, but both SEC and FINRA […]

Investors File Claims About Jon Freeze, Alternative Investment Holdings Soreide Law Group is investigating potential investor claims of sales practice violations by securities broker Jonathan “Jon” Douglas Freeze [CRD#: 2642023, Canonsburg, Pennsylvania]. Notably, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck reports that since 2017, no less than nine clients contested the securities recommendations or sales of […]

Did Jeremy Monte Cause You Losses? Former American Portfolios Financial Services securities broker Jeremy Monte (CRD#: 4601512, Fairport, New York) allegedly sold unsuitable investments to investors. Apparently, the Financial Industry Regulatory Authority (“FINRA”) reports through BrokerCheck that at least five clients of his filed disputes about his sales practices. Here’s more on the allegations against […]

JEFFREY SCHWEBACH Suspended By FINRA The Financial Industry Regulatory Authority (“FINRA”) announced that it issued Independent Financial Group (“IFG”) broker Jeffrey Schwebach (CRD#: 1606537, Dell Rapids, SD) an 8 month suspension for selling away (engaging in securities transactions outside the scope of the broker’s employment). Notably, Schwebach submitted a Letter of Acceptance, Waiver, and Consent […]

Soreide Law Group Investigating GARY HAMMOND of Charlotte North Carolina Soreide Law Group is evaluating possible claims of sales practice violations against MetLife securities broker Gary Hammond (CRD#: 2660432, Charlotte, North Carolina). Notably, the Financial Industry Regulatory Authority (“FINRA”) shows that at least nine investors complained about Hammond. Eight complaints come after MML Investors Services […]

The following information was obtained from FINRA’s February 2018 Disciplinary Report by Soreide Law Group:  Jed Edward Tinder (CRD #1013144, Oshkosh, Wisconsin)  was barred by FINRA for allegedly refusing to provide information and documents requested by FINRA during the course of an ongoing examination into whether he conducted outside business activities, participated in private securities […]

KENNETH STEWART TYRRELL (KEN TYRRELL) CRD#: 2457452 has been barred by the Financial Industry Regulatory Authority Inc (FINRA) for allegedly participating in eleven undisclosed private securities transactions and engaging in five undisclosed outside business activities. According to FINRA's BrokerCheck, FINRA’s findings stated that KENNETH STEWART TYRRELL participated in private securities transactions totaling more than $13 […]