Soreide Law Group is currently investigating potential claims on behalf of investors who may have incurred losses due to the actions of securities broker Jason Steven Hawke (also known as J. Steven Hawke) [CRD#: 4177415, Meridian, Idaho]. Evidently, Hawke is registered with D.H. Hill Securities, LLLP since October 2020, and Hawke Financial Group since September […]

Broker Wes Patterson Gets Suspended By FINRA For Selling Away The Financial Industry Regulatory Authority (FINRA) reportedly suspended securities broker Micah Wesley Patterson (“Wes Patterson”) (CRD#: 5562392, Layton, Utah), who worked for securities firms Northwestern Mutual Investment Services, MML Investors Services LLC (2014 to 2017), and most recently, Hornor Townsend Kent LLC (2017 to 2020). […]

Securities Broker Nick Palumbo, Who FINRA Barred, Is Involved In An Investor Dispute The Soreide Law Group has come across important information regarding securities broker Nicholas Richard Palumbo (“Nick Palumbo”) (CRD#: 1069948, Armonk, New York). It appears that an investor challenged Palumbo’s sales practices at Park Avenue Securities LLC, where he worked from May 1999 […]

Investors Indicate That Principal Securities' John Krohn Was Selling Away Soreide Law Group is reviewing possible investor claims of suitability, misrepresentation and other sales practice violations against securities broker John Michael Krohn (CRD#: 2722975, West Des Moines, Iowa). Notably, Krohn worked for Principal Securities from 1996 to 2017. His sales practices during that period have […]

Securities Service Network Clients Suggest Peter Holler Sold Bad Woodbridge Notes Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of sales practice violations by securities broker Peter Holler [CRD# 838897, Bristol, Tennessee]. Evidently, from 2001 and 2017, he worked for Securities Service Network between, who disaffiliated with him for concealing information about […]

FINRA Banishes Merrill Lynch’s Christopher Hellman For Stonewalling Investigation The Financial Industry Regulatory Authority (“FINRA”) barred Merrill Lynch securities broker Christopher Charles Hellman (CRD#: 6584084, Boca Raton, Florida) for failing to provide information to FINRA during its investigation of Hellman’s possible private securities transactions and outside business activities. Evidently, Mr. Hellmann submitted a Letter of […]

Wells Fargo Clearing Services Brokers Face Troubling Allegations Wells Fargo Clearing Services, LLC (CRD#: 19616) is a Financial Industry Regulatory Authority (“FINRA”) regulated brokerage firm and (“SEC”) regulated investment adviser firm. Wells Fargo’s main offices are in St. Louis, Missouri. Wells Fargo has accrued 449 discloses regarding its infractions in the securities industry. 159 of […]

Quest Capital Strategies’ Frank Dietrich Barred For Selling Away Frank Dietrich (CRD#: 2506091, Lake Forest, California), who is a former Quest Capital Strategies securities broker, just got barred from the securities industry by the Financial Industry Regulatory Authority (“FINRA”) for engaging in private securities transactions, according to a Letter of Acceptance, Waiver and Consent #2018057197801 […]

FINRA Suspends Securities Services Rep For Private Securities Transactions Peter D. Holler (CRD #838897, Bristol, Tennessee) who was a registered representative of Securities Services Network, Inc., consented to being fined $10,000 and suspended until May 20, 2020 from acting as a broker or associating with FINRA member broker-dealer firms pursuant to a Letter of Acceptance, […]