Soreide Law Group is investigating potential claims for investors who have sustained losses attributed to Steven Andrew Hill (also known as Andy Hill) [CRD: 4606358, Atwater, California]. Hill has been registered with Wells Fargo Clearing Services LLC since January 3, 2011. He faces several investor allegations, including misrepresentation and unauthorized investments. By reading further, you'll […]

Investors have come forward with complaints about securities broker Emilio Guajardo Jr. (CRD:  4871764, The Woodlands, TX). Evidently, the securities broker, who worked for BBT Securities LLC, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, BBT Securities LLC clients allege that Guajardo made misrepresentations. For more on these disclosures about Guajardo, see […]

Investor Suitability Disputes Concern William Hennion (Hennion Walsh) FINRA BrokerCheck indicates that investors alleged sales practice violations involving securities broker William Hennion (CRD#: 2048378, Parsippany, New Jersey) and that those violations resulted in damages. Evidently, Hennion has been with Hennion Walsh since 1990 and Hennion Walsh Asset Management since 2007. Notably, he faces allegations of […]

Suitability Allegations Made In Ameriprise Financial Services Client's Dispute About Craig Eastwood Important information appears on Financial Industry Regulatory Authority BrokerCheck relating to securities broker Craig Bradford Eastwood (CRD#: 2931709, Naples, Florida). Evidently, the securities broker, who has worked for Ameriprise Financial Services since 2008 as a financial advisor and securities broker, is involved in […]

FINRA Opens Investigation Into Securities Broker Sherry Baker (Raymond James) Regarding Suitability The Financial Industry Regulatory Authority (FINRA) reports new information concerning securities broker Sherry Lynn Baker (CRD#: 1249220, Salem, Illinois). Evidently, FINRA, who is responsible for overseeing and investigating securities brokers, launched an investigation into Baker. FINRA's investigation concerns Sherry Baker's potential unsuitable recommendations […]

Voya Financial Advisors Clients Allege Failure To Supervise In Disputes About Securities Broker Ronnie Metcalf The Financial Industry Regulatory Authority (FINRA) reports important information relating to securities broker Ronald Franklin Metcalf Jr. (“Ronnie Metcalf”) (CRD#: 1280602, Greenville, South Carolina). Evidently, until June 2021, Metcalf worked for Voya Financial Advisors as a securities broker and financial […]

Clients Dispute Sales Practices Of Hilltop Securities Broker, Financial Advisor Mark Katz The Financial Industry Regulatory Authority (FINRA) reports that investors filed disputes concerning securities broker Mark Katz (CRD#: 3055019, San Diego, California). Evidently, Katz worked as a financial advisor and a securities broker with Hilltop Securities Inc. in San Diego, California from December 2008 […]

Hilltop Securities Clients File Disputes About Financial Advisor Dennis Robberecht Financial Industry Regulatory Authority (“FINRA”) shows on BrokerCheck that investors filed disputes about securities broker Dennis Robberecht (CRD#: 1213446, Roseville, California). Namely, the securities broker, who started working for Hilltop Securities in November 2008 as both a financial advisor and securities broker, is involved in […]

Morgan Stanley Clients Indicate Laurence Braunstein Sold Unsuitable Investments Soreide Law Group is reviewing potential investor claims against securities broker Laurence Michael Braunstein (CRD#: 1220577, New York, New York). Notably, clients of Braunstein’s brought disputes alleging that he engaged in sales practice violations. It is possible that Braunstein sold investors unsuitable securities. Here’s more. Morgan […]