Soreide Law Group has learned of possible investor claims against securities broker Zachary Simpson (CRD: 7158285, Canonsburg, Pennsylvania). Particularly, FINRA sanctioned the securities broker, who worked for Pruco Securities Inc. Allegedly, Torrez committed forgery in violations of FINRA rules. Here is a brief summary of FINRA’s allegations against Torrez. FINRA Sanctions Zachary Simpson For Forgery […]

Soreide Law Group is investigating possible investor claims against securities broker James Kelly (also known as James E. Kelly) [CRD: 2959343, Owings Mills, MD]. Notably, FINRA sanctioned the securities broker, who worked for Pruco Securities LLC. Here is a brief summary of FINRA’s allegations against James Kelly. FINRA Sanctions Kelly Evidently, on November 22, 2021, […]

Investors have come forward with complaints about securities broker Marc Jacob Jacobson (CRD:  1908557, Northbrook, IL). Evidently, the securities broker, who worked for Sagepoint Financial Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Sagepoint Financial Inc. clients allege that Jacobson made misrepresentations. For more on these disclosures about Jacobson, see below; […]

Soreide Law Group is investigating possible investor claims against securities broker Jeffrey Weiner AKA Jeffrey Paul Weiner [CRD#: 2476604, New York, NY]. Notably, FINRA sanctioned the securities broker, who worked for Pruco Securities. Allegedly, Weiner impersonated clients. Here is a brief summary FINRA’s allegations against Weiner. FINRA Sanctions Pruco Securities Broker Jeffrey Weiner Evidently, on […]

FINRA reports important information regarding securities broker Roger Allan Duval [CRD#: 2503718, Bellevue, Washington]. Not only has FINRA sanctioned Duval, but one or more investors disputed the sales practices of the securities broker at Pruco Securities and MML Investors Services. However, Duval denies the allegations. Read on to learn more. FINRA Bars Duval For Conversion […]

LPL Clients Complain About Securities Broker Michael Henschel's Annuity, REIT Transactions Soreide Law Group comes to you with some helpful information in regard to securities broker Michael James Henschel (CRD#: 3112890, Stevens Point, Wisconsin). Specifically, the securities broker, who has worked as both an LPL Financial advisor and securities broker since October 2011, is involved […]

Investors Allege Sales Practice Violations By Securities Broker Chris Shaw (Kalos Capital, Pruco Securities) According to the Financial Industry Regulatory Authority (FINRA), securities broker Christopher John Shaw "Chris Shaw" (CRD#: 5011382, Belmont, North Carolina) is involved in investor disputes. The securities broker worked for Blackbird North America, Kalos Capital, Kalos Management, Pruco Securities, Prudential Financial […]

Pruco Securities Investor Files Dispute About Broker James Prosperi The Financial Industry Regulatory Authority (“FINRA”) shows on BrokerCheck that investors filed disputes about securities broker James Vincent Prosperi (CRD#: 2337125, Pittsford, New York). Also, BrokerCheck reports misconduct allegations associated with Prosperi’s departure from Pruco Securities and Merrill Lynch. Here’s more about the securities broker. Pruco […]

Pruco Terminates Brokers Michael Pineda, Donna Guglielmi, Rajen Sheth Pruco Securities, LLC (CRD#: 5685) is a Financial Industry Regulatory Authority (“FINRA”) regulated brokerage firm and (“SEC”) regulated investment adviser firm. Pruco Securities, LLC’s main offices are in Newark, New Jersey. Since September 22, 2003, Pruco Securities has amassed 42 discloses regarding its alleged mishaps in […]