Investors apparently complained about securities broker Julie Anne Darrah (also known as Julie Banuelos) [CRD: 2102014, Orcutt, California], according to disclosures on FINRA BrokerCheck. Evidently, Julie Darrah worked for Mutual Securities Inc. from June 28, 2013, to January 4, 2022. She also held an ownership role in Vivid Financial Management Inc. during her financial industry […]

Investors potentially experienced losses because of securities broker Julie Anne Darrah (also known as Julie Banuelos) [CRD: 2102014, Orcutt, California], according to disclosures on FINRA BrokerCheck. According to the regulator, Julie Darrah worked for Mutual Securities Inc. from June 28, 2013, to January 4, 2022. Here’s more about the securities broker’s disclosures. Mutual Securities Inc. […]

Multiple securities regulators have barred securities broker Andrew M. Komarow [CRD: 5838564, West Hartford, Connecticut], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Andrew Komarow worked for LPL Financial LLC from April 26, 2016, to December 22, 2022, and for Royal Alliance Associates Inc. from December 13, 2022, to January 4, 2023. […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Dustin Paul Shafer [CRD: 4198962, Springfield, Illinois], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Dustin Shafer worked for Newbridge Securities Corporation from September 4, 2019, to November 4, 2020, and for Money Concepts Capital […]

Investors might have sustained losses due to Lina Maria Garcia [CRD: 4447599, Miami, Florida], and SEC took legal action against the securities broker, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Garcia worked for Insigneo Securities LLC from April 21, 2010, to September 9, 2021. Keep reading to learn more about Garcia’s disclosures […]

Some investors have potentially experienced damages because of securities broker Sean Michael Kane [CRD#: 5778281, York, Pennsylvania], according to disclosures through FINRA and SEC. Evidently, Kane worked with Cambridge Investment Research Inc. from March 25, 2021, to March 30, 2023, and with Waddell Reed from October 2, 2018, to March 3, 2021. Read on to […]

Soreide Law Group is currently reviewing potential claims on behalf of investors who may have encountered financial setbacks due to the actions of Alan Zelig Appelbaum [CRD: 500336, Boca Raton, Florida]. Evidently, Appelbaum's employment with Aegis Capital Corp. spanned from July 8, 2015, to May 14, 2021. Investors with connections to Appelbaum are urged to […]

FINRA BrokerCheck shows that investors have contested the sales practices of Ronald Terrence Molo [CRD: 4371241, Joliet, Illinois]. Also, SEC and FINRA sanctioned the securities broker, who worked for Edward Jones from 2001 to 2021. Here’s more about those disclosures. Ronald Molo Barred By SEC For Misappropriation On November 8, 2023, the United States Securities […]

Soreide Law Group announces that it is currently investigating potential claims on behalf of investors who have suffered losses inflicted by securities broker Patrick Noel Thayer [CRD#: 5735955, Lebanon, Ohio]. Evidently, Thayer worked at LPL Financial LLC from September 2020 to October 2022 and Parkland Securities LLC from April 2014 to September 2020. Notably, FINRA […]