Investors apparently complained about securities broker Joseph Ward (also known as Joe Ward) [CRD: 7384642, West Hartford, Connecticut], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ward worked for UBS Financial Services Inc. from May 5, 2023, to January 25, 2024, and later joined Northwestern Mutual Investment Services LLC on June […]

Investors potentially incurred losses because of securities broker Timothy Richard Farris [CRD: 2178521, West Bloomfield, Michigan], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Farris worked for Sigma Financial Corporation from May 15, 2015, to December 17, 2021, SPC from November 15, 2021, to December 17, 2021, and Cetera Advisors […]

Investors potentially experienced sales practice violations by securities broker Steven Wallace Schmitt [CRD: 4486457, Paramus, New Jersey], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Schmitt worked for Raymond James Associates Inc. since November 9, 2022, and previously worked for Morgan Stanley from October 7, 2016, to November 29, 2022. […]

Investors apparently complained about securities broker Michael Edward Orlowski [CRD: 4922316, Syosset, New York], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Michael Orlowski has been registered with Commerce One Financial Inc. since March 4, 2005. Investors should continue reading to discover more about disclosures involving this securities broker. Commerce […]

Investors have reportedly disputed the sales practices of securities broker Richard James Jirinec (also known as Richard James Jirinee) [CRD: 2580370, Jupiter, Florida], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Richard Jirinec has been registered with PHX Financial Inc. since March 5, 2015. Investors are encouraged to Investors are encouraged to continue […]

Soreide Law Group is investigating potential investor claims involving sales practice violations by securities brokers and financial advisors related to iMedia Brands Inc. (NASDAQ: IMBI). iMedia Brands was a publicly traded media-commerce company best known for operating ShopHQ and related television and online retail platforms. In recent years, adverse financial and regulatory information emerged about […]

Investors apparently complained about securities broker Derek Michael Johnson [CRD: 2922680, Brea, California], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Derek Johnson worked for J.P. Morgan Securities LLC from January 20, 2012, to June 11, 2020, and has been registered with Morgan Stanley since June 5, 2020. Investors should continue […]

Investors might have sustained losses due to securities broker David Nathan Cohen [CRD: 5083883, Yonkers, New York], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. David Cohen worked for Cetera Investment Services LLC from June 20, 2019, to December 10, 2025. Investors should continue reviewing this information to learn more about the disclosures […]

Investors have reportedly disputed the sales practices of securities broker William Andrew Grundig [CRD: 2589507, Freehold, New Jersey], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Grundig worked for Commonwealth Financial Network from September 30, 2016, to July 31, 2025, before registering with Kestra Investment Services LLC and […]