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 […]

FREDERICK SCOTT LEVINE (FRED LEVINE) CRD#: 1765119, a former Oppenheimer broker, currently with RBC Wealth Management of Florham Park, New Jersey, agreed to a $5,000 fine and a 3 month suspension from FINRA, for allegedly encouraging clients to prematurely sell unit investment trusts (UITs) and use the proceeds to buy new UITs in violation of […]

Did Your Financial Advisor Recommend Alerian Energy Infrastructure And MLP Capital Strength Portfolio Series 11 (CAMIKX)? Soreide Law Group is evaluating possible investor claims against securities brokers and financial advisors who might have sold unsuitable and misrepresented investments including Guggenheim Defined Portfolios’ Alerian Energy Infrastructure and MLP Capital Strength Portfolio Series 11 (NASDAQ: CAMIKX). Who […]

Broker, RON RAY WILLOUGHBY JR (CRD#: 2425926), formerly with Morgan Stanley of Tempe, AZ, currently with Kestra Investment Services of Venice, CA, was fined $5,000 by FINRA and was  suspended for three months, with starting date of July 1, 2019 and ending date, September 30, 2019. According to FINRA, allegedly, RON RAY WILLOUGHBY JR engaged […]

Massachusetts regulators have charged StockCross Financial Services and Peter Edward Cunningham (CRD#: 2400211), one of its brokers/investment advisors, with allegedly engaging in improper trading practices. StockCross is also charged with alleged failure to reasonably supervise its agent. The regulators have charged StockCross and Peter Cunningham of Los Angeles, with allegedly recommending their clients, 30% of […]

Soreide Law Group obtained the following information from FINRA’s March 2018 Disciplinary Report: Kevin John Jedlicka (CRD #2339602, White Hall, Maryland) was suspended by FINRA for six months, and due to Jedlicka’s financial status, no monetary sanction has been imposed. Jedlicka consented to the sanction and to the entry of findings that he allegedly engaged […]

Soreide Law Group, based in Florida, obtained the following from FINRA’s Disciplinary Report March, 2018: Richard Alan Shotz (CRD #1681893, Port Orange, Florida)  was fined $7,500 and suspended by FINRA for four months for allegedly engaging in an unsuitable pattern of short-term trading of unit investment trusts (UITs) in client accounts. FINRA’s findings stated that […]