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 […]

Raymond James, Morgan Stanley Clients Voice Concerns About Securities Broker Belk Daughtridge Soreide Law Group is reviewing investor complaints concerning securities broker John Belk Daughtridge “Belk Daughtridge” (CRD#: 2735851, Mount Pleasant, South Carolina), as disclosed on FINRA BrokerCheck. Evidently, Daughtridge worked for Citigroup Global Markets, Morgan Stanley, and Raymond James & Associates. Read further to […]

Raymond James Client Disputes Involve Lynn Faust The Financial Industry Regulatory Authority (FINRA) BrokerCheck contains important disclosures concerning securities broker Lynn Cooper Faust aka Donna Lynn Cooper (CRD#: 729012, Greenville, South Carolina). Specifically, Faust received FINRA sanctions over her alleged unsuitable trading of UITs in Raymond James client accounts. Not only that but Raymond James […]

Investor Disputes Involve Securities Broker Kyle Davis (Raymond James, Morgan Stanley) FINRA BrokerCheck indicates that investors alleged improper sales practices involving securities broker and financial advisor Evan Kyle Davis “Garry Davis” (CRD#: 2995789, Atlanta, Georgia) and that those violations resulted in damages. Notably, Davis worked for Raymond James (his employer from 2013 to 2019), Morgan […]

Broker Michael McNulty Involved In Disputes Brought By Raymond James Clients Soreide Law Group provides you with an update regarding the FINRA BrokerCheck disclosures relating to securities broker Michael McNulty, also known as “Mike McNulty” (CRD#: 1493933, Boca Raton, Florida). It appears that McNulty worked for UBS PaineWebber and Raymond James before joining Lincoln Financial […]

Raymond James Clients, Morgan Keegan Clients File Investment Disputes About Securities Broker Shirley Washam Soreide Law Group has new information to share with you in regard to securities broker Shirley Ellen Washam (AKA Shirley Mazzanti and Shirley Davis) (CRD#: 2166419, Russellville, Arizona). Evidently, six investors complained about her sales practices, and one of those disputes […]

Securities Broker Scott Williams (Raymond James, LPL Financial) Involved In Investor Disputes Soreide Law Group provides you with this Investor Alert in regard to securities broker Scott D. Williams (CRD#: 2330693, Franklin Tennessee). Notably, the Financial Industry Regulatory Authority (“FINRA”) reports that the securities broker, who worked for firms Raymond James (2011 to 2017) and […]

Broker Michael Shillin Under FINRA Investigation Soreide Law Group is reviewing possible investor lawsuits against securities broker Michael Francis Shillin (CRD#: 5927156, Altoona, WI). Notably, on November 20, 2020, FINRA initiated an investigation into the broker, who worked for securities firms Alliance Global Partners (AGP) from 2018 to 2020 and Raymond James from 2014 to […]

Broker James Kearney Purportedly Makes Unauthorized And Unreasonable Trades The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of misconduct by James Joseph Kearney (CRD#: 265734, Houston, Texas). Namely, Kearney violated FINRA rules on trading and faced the financial watchdog’s suspension and fine as a result. Not only that, but four investors filed disputes about […]