Investors potentially experienced sales practice violations by securities broker David Thomas Olsen [CRD: 4823650, Fort Lauderdale, Florida], given the disclosures located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. David Olsen worked for Madison Avenue Securities LLC from October 31, 2017, to December 8, 2023, and again from January 8, 2025, to December 31, 2025. See […]

Investors have reportedly disputed the sales practices of securities broker Richard James Roberts (also known as Rick Roberts) [CRD: 2145874, Laguna Niguel, California], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Richard Roberts has worked for TCFG Wealth Management LLC since December 11, 2012. Read on to find out more […]

Soreide Law Group is investigating potential investor claims involving TechCreate Group Ltd. (TCGL) stock, particularly whether brokers or financial advisors improperly recommended this security despite emerging warning signs. TCGL is a publicly traded foreign holding company whose shares were subject to an SEC trading suspension, raising serious concerns for investors. There is significant adverse regulatory […]

Soreide Law Group is investigating potential investor claims involving the sale of Joint Powers Authorities (“JPA”) municipal bonds by securities brokers and financial advisors for possible sales practice violations. JPA municipal bonds are debt securities issued through public agency partnerships, often marketed as conservative, tax-advantaged investments for income-focused investors. However, there is growing adverse information […]

FINRA barred securities broker Justin Gyunho Kim (also known as Gyunho Kim) [CRD: 6703074, San Francisco, California], based on disclosures reported on FINRA BrokerCheck. Kim worked for Citigroup Global Markets Inc. from December 11, 2023, to January 2, 2026, and previously worked for Lazard Freres Co. LLC from September 20, 2021, to August 11, 2023. […]

SEC barred securities broker James Dale Warring [CRD: 3198200, Rockville, Maryland], and investors complaint about him, based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. James Warring worked for Emerson Equity LLC from June 9, 2023, to August 1, 2025; DAI Securities LLC from November 23, 2020, to May 15, 2023; and […]

Investors might have sustained losses through securities broker William David Carlton (also known as Bill Carlton) [CRD: 1215541, Bellevue, Washington], according to disclosures on FINRA BrokerCheck. Evidently, Carlton worked for Cetera Advisors LLC from September 8, 2022, to January 17, 2024, and for First Allied Securities Inc. from December 9, 2008, to September 8, 2022. […]

Investors reportedly complained about securities broker Rajesh Markan [CRD: 4553309, Flower Mound, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Markan worked for Merrill Lynch from May 8, 2009 to November 4, 2022, and for Hilltop Securities Inc. from October 5, 2022 to August 12, 2024. Read on to know more about […]

Investors might have sustained losses due to securities broker Richard G. Michalski [CRD: 4588706, New York, New York], according to disclosures on FINRA BrokerCheck. Evidently, Michalski has worked for Laidlaw Company (UK) Ltd. since October 27, 2010. Below, you can find important information about what investors allege took place. Michalski Involved In Investor Dispute Regarding […]