Latest Securities Lawyer News

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 […]

Soreide Law Group is investigating possible investor claims against securities broker Ramiro Colon AKA Ramiro Luis Colon Ortiz III [CRD#: 1868710, Miami, FL]. Evidently, FINRA sanctioned the securities broker, who worked for UBS Financial Services. Allegedly, Colon utilized unauthorized communication channels to conduct investment related business. Here is a brief summary FINRA’s allegations against Colon. […]

Investors have come forward with complaints about securities broker Matthew Buchsbaum AKA Matthew Stern Buchsbaum [CRD#: 2220565, New York, NY]. Evidently, the securities broker, who worked for UBS Financial Services, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, UBS Financial Services clients allege that Buchsbaum made unsuitable transactions and misrepresentations. For more […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker David Barnes AKA David Ray Barnes [CRD#: 2181896, Dallas, TX]. Evidently, investors disputed the sales practices of the securities broker, who worked for UBS Financial Services. Additionally, the securities broker discloses a regulatory enforcement action. However, Barnes denies the allegations of sales practice […]

Soreide Law Group is investigating possible investor claims against securities broker Ron Keith Phillips [CRD#: 2823393, Walnut Creek, CA]. Phillips has worked for Morgan Stanley since 2009 and UBS Financial Services Inc. from 2002 to 2008. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that Morgan Stanley and UBS Financial Services investors disputed the sales […]