Investors apparently complained about securities broker Sanford Allen Schmidt (also known as Sandy Schmidt) [CRD: 1163559, Deerfield, Illinois], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Schmidt has been employed with Catalyst Wealth Management since November 30, 2016, and The Leaders Group Inc. since April 13, 2023, with previous associations […]

Investors might have sustained losses due to securities broker Surya Metzler [CRD: 4558292, Newport Beach, California], according to disclosures on FINRA BrokerCheck. According to the regulator, Surya Metzler has worked for Centaurus Financial Inc. since November 1, 2011, and Newport Wealth Advisors Inc. since January 9, 2018. Prior to this, he was also registered with […]

SEC brought a complaint against John Nicholas Matson [CRD: 1796541, Manhattan Beach, California], and LPL Financial LLC investors complained about him, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Matson worked for LPL Financial LLC from November 2, 2017, to December 7, 2022, and for Ameriprise Financial Services Inc. from June 22, […]

Financial Industry Regulatory Authority (FINRA) sanctioned David Victor Tall (also known as Dave Tall) [CRD: 1314547, Costa Mesa, California], according to disclosures on BrokerCheck. Evidently, David Tall worked for Osaic Wealth Inc. from September 1, 2023, to December 19, 2023, and Sagepoint Financial Inc. from October 31, 2005, to September 1, 2023. Keep reading to […]

Investors possibly experienced losses due to securities broker Jack Robert Thacker Jr. [CRD: 2754773, Nashville, Tennessee], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Jack Thacker worked for Realta Equities Inc. and Realta Investment Advisors Inc. from September 20, 2023, and September 22, 2023, respectively. Here’s more about the securities broker’s disclosures. […]

Soreide Law Group is investigating potential claims on behalf of investors who suffered losses due to Darien Euclid Bonney (also known as D.E. Bonney) [CRD: 4899007, Scottsdale, Arizona]. Evidently, Bonney worked for MML Investors Services LLC from April 2, 2007, to January 27, 2022. Notably, investors allege sales practice violations in these disputes, including unsuitability […]

Soreide Law Group is presently investigating potential claims on behalf of investors who lost money due to Ronald Joseph Sagasser (also known as Ron Sagasser) (CRD: 5400879, Miamisburg, Ohio). Notably, Sagasser worked for W&S Brokerage Services, Inc. from May 11, 2018, to July 18, 2022. Evidently, FINRA sanctioned Sagasser on July 6, 2023. Moreover, Sagasser […]

Investors complained about securities broker Edward Joseph Rudiger Jr. (CRD: 2118724, New York, New York). Notably, the securities broker, who worked for Reid Rudiger LLC, disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Namely, Reid Rudiger LLC clients allege that Rudiger made unsuitable recommendations, engaged in unauthorized trading, and committed other sales practice […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker John Matson (also known as John Nicholas Matson) (CRD: 1796541, Manhattan Beach, California). Notably, investors disputed the sales practices of the securities broker, who worked for LPL Financial LLC. Additionally, the securities broker discloses a regulatory enforcement action. Notably, these disclosures allege Matson […]