Investors potentially incurred losses because of securities broker Sergio Kindler [CRD: 1690597, Jericho, New York], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Sergio Kindler has been registered with Osaic Wealth Inc. since February 24, 2022, and previously worked for LPL Financial LLC from February 14, 2018, through March 23, 2022. […]

Investors potentially experienced sales practice violations by securities broker Thomas Mazzara (also known as Tom Mazzara) [CRD: 1294121, New York, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Thomas Mazzara worked for Alliance Global Partners from October 24, 2022, to the present, and previously worked for Royal Alliance Associates Inc. from […]

Investors have reportedly disputed the sales practices of securities broker Selwyn Miller (also known as Selwyn Milller) [CRD: 1695348, Woodland Hills, California], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Miller worked for Lincoln Investment from June 1, 2012, to February 22, 2024. Continue reading for details about Miller’s […]

Investors potentially experienced losses because of securities broker Walter Hugh Brown [CRD: 2520963, Melville, New York], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Brown worked for American Portfolios Advisors Inc. in Holbrook, New York, and American Portfolios Financial Services Inc. in Hauppauge, New York, from September 26, […]

Investors might have sustained losses due to securities broker Jack W. Yvars [CRD: 6377111, Concord, New Hampshire], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Yvars has been registered with Osaic Wealth Inc. since November 2, 2018. This follows his previous registration with Signator Investors Inc., which lasted from June 22, 2016, […]

Investors might have sustained losses due to securities broker Norman Ray Harp [CRD: 2480563, Leawood, Kansas], based on the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Norman Harp worked for Moloney Securities Co. Inc. from July 21, 2008, to December 12, 2017, and is currently registered with B.B. Graham Company Inc. since December […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Gary Kendall Liska [CRD: 2512188, Los Angeles, California], given the disclosures on FINRA BrokerCheck. Evidently, Liska joined Signature Estate Investment Advisors LLC on May 12, 1997, and Signature Estate Securities LLC on August 16, 2023. Continue reading to […]

Soreide Law Group is presently investigating potential claims on behalf of investors who may have incurred financial losses due to the actions of registered financial advisor and broker Timothy Harold Judson (CRD: 709195, McLean, Virginia). Particularly, Judson has been associated with Osaic Wealth, Inc. in McLean, Virginia since November 19, 1989, and as a financial […]

Soreide Law Group is investigating possible investor claims against securities broker Arthur Grossbard (also known as Artie Grossbard) (CRD: 1020971, West Orange, New Jersey). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Royal Alliance Associates Inc. Evidently, investors allege sales practice violations […]