Investors might have sustained losses due to securities broker Roy Chuck Waugh [CRD: 2130562, Lawton, Oklahoma], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Roy Waugh joined Ameriprise Financial Services LLC on May 6, 1991. Here’s more about the securities broker’s disclosures. Ameriprise Financial Services Client Accused Waugh Of Beneficiary Change Issue […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Kyung H. Song [CRD: 2760764, East Hills, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Song worked for MML Investors Services LLC from March 25, 2017, to November 27, 2023. Continue reading to […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Richard Lance Belline [CRD: 2432737, Rogers, Arkansas], based on the disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Belline worked for Equitable Advisors LLC from December 14, 1993, to October 18, 2023. Continue reading to learn […]

Investors might have sustained losses due to securities broker Johnathan Paul Hagood [CRD: 6778355, Los Angeles, California], according to disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Hagood worked for Wells Fargo Clearing Services LLC from September 14, 2017, to January 18, 2023. Continue reading to learn more about Hagood's disclosures and the […]

FINRA suspended and fined securities broker Emily Jean Smith (also known as Emily Jean Hinton) [CRD: 6287728, Vero Beach, Florida], according to Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Emily Smith worked for Raymond James Financial Services Inc. from July 15, 2019, to July 7, 2023. Continue reading to learn more about Smith’s professional conduct […]

Investors might have sustained losses because of securities broker Richard John Webb [CRD: 6712838, Beachwood, Ohio], according to disclosures on FINRA BrokerCheck. Evidently, Webb worked for Park Avenue Securities LLC from August 6, 2019, to February 3, 2023. Keep reading to learn more about Richard Webb’s disclosures. Regulator Sanctioned Webb For Failing To Respond To […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Mark Edward Rippeteau [CRD: 869993, Seattle, Washington], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Rippeteau worked for RBC Capital Markets LLC from March 2, 1998, to July 19, 2023. Keep reading to learn more […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Lincoln Lucas Mason [CRD: 7057393, Arnolds Park, Iowa], given the disclosures on FINRA BrokerCheck. Evidently, Mason worked for Edward Jones from March 29, 2019, to December 23, 2021. Continue reading to learn more about Mason's disclosures. FINRA Sanctions […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Joe David Gainer Jr. [CRD: 4517367, Marianna, Florida], given the disclosures on FINRA BrokerCheck. Evidently, Joe Gainer worked for Wells Fargo Clearing Services LLC from November 10, 2016, to June 15, 2022. Keep reading to learn more about […]