Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker James Arthur Schwarz [CRD: 416535, Short Hills, New Jersey], as indicated by multiple disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck.  Evidently, Schwarz joined UBS Financial Services Inc. on January 10, 2013, as a financial advisor and securities […]

Investors might have sustained losses due to securities broker Donald J. Dever [CRD: 5317492, West Palm Beach, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Donald Dever joined UBS Financial Services Inc. on December 2, 2015. Continue reading to learn more about the disclosures involving Dever. UBS Financial Services Inc. Accused […]

Soreide Law Group is conducting an investigation into potential claims on behalf of investors who may have suffered losses due to the actions of securities broker Michael Thomas Yochum (also known as Mike Yochum) [CRD#: 1126991, San Francisco, California]. Evidently, Michael Yochum is a registered broker and investment advisor with UBS Financial Services Inc., where […]

Soreide Law Group is investigating possible investor claims against securities broker James Charles Naify (CRD: 2316318, Beverly Hills, California). Evidently, Merrill Lynch Pierce Fenner Smith Incorporated terminated the securities broker for cause. Also, a UBS Financial Services Inc. investor complained about him. Here is a brief summary of the allegations against Naify. Merrill Lynch Pierce […]

Investors have come forward with complaints about securities broker Jeffrey Adam Miller (CRD: 4251936, Greenwich, Connecticut). Evidently, the securities broker, who worked for UBS Financial Services Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, UBS Financial Services Inc. clients allege that Miller made unsuitable recommendations. For more on these disclosures about […]

Soreide Law Group is investigating possible investor claims against securities broker Gregory Foster (CRD: 1532735, Wayzata, Minnesota). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for UBS Financial Services Inc. Evidently, investors allege sales practice violations in these disputes, including that Foster caused […]

Soreide Law Group is investigating possible investor claims against securities broker Erkan Eric Afacan (CRD: 2563297, Paramus, New Jersey). Evidently, Cambridge Investment Research Inc. permitted Afacan to resign amid allegations of his misconduct. Here is a brief summary of Cambridge Investment Research Inc.’s and investors’ allegations against Afacan. Cambridge Investment Research Inc. Terminates Afacan For […]

FINRA reports important information about securities broker Robert Earl Turner Jr. (CRD: 2113736, Waco, Texas). Not only has FINRA sanctioned Turner for engaging in private securities transactions, but investors disputed the sales practices of the securities broker. However, Turner denies the allegations. Read on to learn more about the allegations against Turner. FINRA Sanctions Turner […]

Soreide Law Group is looking into possible investor claims against securities broker Shawn Oliver (CRD: 2015244, Napa, California). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for UBS Financial Services Inc. Evidently, investors allege sales practice violations in these disputes, including that Oliver […]