Soreide Law Group is investigating possible investor claims against securities broker Frank Cid (also known as Francis Cid) [CRD: 2897738, Plainview, NY]. Notably, FINRA sanctioned the securities broker, who worked for CBC Securities Inc. Allegedly, Frank Cid failed to turn over information and documents to FINRA when it investigated potential rule infractions. Here is a […]

Soreide Law Group is investigating possible investor claims against securities broker Donovan Kelly (also known as Donovan Thomas Kelly) [CRD: 2622366, Billings, MT]. Notably, FINRA sanctioned the securities broker, who worked for Independent Financial Group LLC. Allegedly, Kelly engaged in private securities transactions. Here is a brief summary of FINRA’s allegations against Kelly. FINRA Sanctions […]

Soreide Law Group is investigating possible investor claims against securities broker Dave McDonnell (also known as David Robert McDonnell) [CRD: 1757401, Laguna Beach, CA]. Notably, FINRA sanctioned the securities broker, who worked for TCFG Wealth Management LLC. Allegedly, McDonnell failed to provide information and documents to FINRA when it investigated potential FINRA rule infractions. Here […]

Soreide Law Group is investigating possible investor claims against securities broker Christopher Joseph (also known as Christopher Todd Joseph) [CRD: 6841532, Toledo, OH]. Notably, FINRA sanctioned the securities broker, who worked for Royal Alliance Associates Inc. Allegedly, Joseph engaged in an undisclosed outside business activity and securities transaction. Here is a brief summary of FINRA’s […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Doug Maurer (also known as Aaron Douglas Maurer) [CRD: 3007121, White Plains, NY]. Not only has FINRA sanctioned Maurer for selling away, but investors complained about the securities broker. However, Maurer denies the allegations. Read on to learn more about the allegations against […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Zach Hansen (also known as Zachary Hansen) (CRD:  5553180, Denver, CO). Not only has FINRA sanctioned Hansen for False Records Or Books, but investors disputed the sales practices of the securities broker. However, Hansen denies the allegations. Read on to learn more about […]

Soreide Law Group is investigating possible investor claims against securities broker Doan Nguyen [CRD: 6554242, Vancouver, BC]. Notably, FINRA sanctioned the securities broker, who worked for Raymond James (USA) Ltd. Allegedly, Nguyen failed to provide information and documents to FINRA when it investigated possible violations of FINRA rules. Here is a brief summary of FINRA’s […]

Soreide Law Group is investigating possible investor claims against securities broker Sanjay Bhargava [CRD: 4495397, La Vista, Nebraska]. Notably, Maryland sanctioned the securities broker, who worked for Regulus Financial Group LLC. Here is a brief summary of Maryland’s allegations against Bhargava. Maryland Sanctions Regulus Financial Group LLC Securities Broker For Prior Regulatory Enforcement Action Particularly, […]

Soreide Law Group is investigating possible investor claims against securities broker Bruce C. Amman [CRD: 2130243, Denver, Colorado]. Notably, FINRA sanctioned the securities broker, who worked for LPL Financial LLC. Allegedly, Amman engaged in private securities transactions. Here is a brief summary of FINRA’s allegations against Amman. FINRA Sanctions LPL Financial LLC Broker Bruce Amman […]