One or more investors apparently complained about securities broker Doran Calvin James [CRD: 1764628, Rock Springs, Wyoming], according to publicly available disclosures on FINRA BrokerCheck. It appears that James worked for LPL Financial LLC from November 11, 2011, to May 8, 2023, and has worked for J.W. Cole Financial Inc. and J.W. Cole Advisors Inc. […]

Investors potentially experienced sales practice violations because of securities broker Jennifer Kim [CRD: 2322771, Los Angeles, California], based on disclosures through FINRA’s BrokerCheck. Evidently, Jennifer Kim worked for Signator Investors Inc. from March 4, 1993, to November 2, 2018; for Osaic Wealth Inc. from November 2, 2018, to August 24, 2023; and has been registered […]

Investors possibly experienced losses because of securities broker Kevin Lawrence Kelly [CRD: 2293119, Asheville, North Carolina], according to disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kevin Kelly worked for LPL Financial LLC from October 20, 2010, to June 3, 2021. Here’s more about Kevin Kelly's past employment and allegations of unsuitable investment recommendations. […]

In recent years, major banks such as RBC, Banc of America, and JP Morgan Chase have been fervently producing "structured notes", amassing sales in billions. These banks purport that these notes offer investors a taste of both equity growth and fixed income benefits. However, the real question is, are these notes as promising as they […]

Securities Broker Stephen Ferencik Referenced In Unsuitable Alternative Investment Allegations By Arkadios Capital, ACG Wealth, And UBS Clients Soreide Law Group is reviewing potential investor claims relating to securities broker and financial advisor, Stephen John Ferencik (“Stephen John Ferencilz”) (CRD#: 3126037, Atlanta, Georgia). Evidently, Ferencik worked for firms including ACG Wealth Inc. (August 2010 to […]

FINRA Launches Investigation Into Securities Broker Antoine Souma Relating To Possible Concealment Of Client Complaint It appears that securities broker Antoine Nabih Souma (CRD#: 4210987, Los Angeles, California) is under FINRA investigation. Essentially, FINRA says in a December 2020 disclosure that it might take disciplinary action against Souma for possibly violating FINRA and MSRB rules […]

In an InvestementNews.com article from January20,2012, Dan Jamieson writes that in a regulatory notice, Finra outlined characteristics of what it calls “complex products,” which could include structured notes, inverse or leveraged exchange-traded funds, hedge funds and securitized products such as asset-backed securities. Finra stated that brokerage firms should have formal written procedures covering everything from […]

The following article was posted on FINRA's website: WASHINGTON — It was announced that The Securities and Exchange Commission's (SEC) Office of Investor Education and Advocacy and the Financial Industry Regulatory Authority (FINRA) have issued an investor alert called Structured Notes with Principal Protection: Note the Terms of Your Investment to educate investors about the risks […]