FINRA Indicates That Investors Disputed Eric Harding's Sales Practices Soreide Law Group is evaluating possible investor disputes in regard to securities broker Eric Wayne Harding (CRD#: 2207823, Scottsdale, Arizona). Notably, more than 10 investors disputed the sales practices of Harding, who worked for securities firms Wells Fargo and United Planners Financial Services and who was […]

Kenneth William Schulz (CRD #4605235, Tomahawk, Wisconsin) was barred by FINRA for allegedly directing a registered assistant to impersonate Schulz's former clients. The assistant was told to make phone calls to Schulz's former firm and request that the client's accounts be liquidated, then they could invest with Schulz at his new firm. FINRA's findings stated […]