Soreide Law Group is looking into possible investor claims against securities broker Christopher Robert Black (also known as Chris Black) (CRD: 2186558, Houston, Texas). 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 […]

Soreide Law Group is investigating possible investor claims against Andrew Perry (also known as Andrew Fredric Perry) (CRD: 1726938, Margate, New Jersey). 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. Notably, investors allege sales practice violations in these […]

Soreide Law Group is investigating possible investor claims against securities broker RD Washington (also known as Rodney Deleths Washington) [CRD: 1275777, New Albany, OH]. Evidently, FINRA sanctioned the securities broker, who worked for UBS Financial Services Inc. Allegedly, Washington failed to provide information and documents to FINRA when it investigated potential FINRA rule infractions. Moreover, […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker John Anthony Sommo (CRD:  3141638, New Haven, CT). Evidently, investors disputed the sales practices of the securities broker, who worked for UBS Financial Services Inc. Additionally, the securities broker discloses a regulatory enforcement action. However, Sommo denies the allegations of sales practice violations. […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Zach Hansen (also known as Zachary Hansen) (CRD:  5553180, Denver, CO). Not only has FINRA sanctioned Hansen for False Records Or Books, but investors disputed the sales practices of the securities broker. However, Hansen denies the allegations. Read on to learn more about […]

Soreide Law Group is investigating possible investor claims against securities broker Robert Schultz [CRD: 1769129, Houston, Texas]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Wells Fargo Advisors LLC. For example, clients alleged unsuitable recommendations. Here is a brief summary of the […]

Soreide Law Group is investigating possible investor claims against securities broker Ricardo Guimaraes [CRD: 5442981, St. Louis, Missouri]. 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. Here is a brief summary of the disclosures about Guimaraes. Ricardo Guimaraes […]

Soreide Law Group is investigating possible investor claims against securities broker Kirk Badii [CRD#: 5829768, Los Angeles, 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. Notably, investors allege sales practice violations in these disputes, including that Badii made […]

Soreide Law Group is investigating possible investor claims against securities broker Patrick Murray AKA Patrick Reid Murray [CRD#: 2007449, Sandusky, OH]. Evidently, FINRA sanctioned the securities broker, who worked for UBS Financial Services. Allegedly, Murray engaged in an undisclosed outside business activity. Here is a brief summary FINRA’s allegations against Murray. FINRA Sanctions UBS Financial […]