Morgan Stanley Clients Indicate That Robert David Sold Unsuitable Bonds Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports that between 2019 and 2020, Morgan Stanley investors filed four disputes about securities broker Robert C. David Jr. (CRD#: 5211223, Farmington Hills, Michigan) suggesting that he sold unsuitable, unauthorized and misrepresented investments. Not only that, but […]

Broker Mark Hopkins Possibly Sold Bad Investments Soreide Law Group is investigating potential investor claims of sales practice violations by securities broker Mark Lewton Hopkins (CRD#: 2653473, Grand Blanc, Michigan). Notably, Michigan issued Hopkins a $2,500 fine for his concealment of facts when recommending securities to one or more investors. Not only that, but FINRA […]

Broker Terrence Bonk Allegedly Caused Investor Losses Soreide Law Group is reviewing possible investor claims against securities broker Terrence Edward Bonk (CRD#: 1011846, Inter Grove Heights, Minnesota). Namely, the Financial Industry Regulatory Authority (“FINRA”) suspended the prior Feltl & Company securities broker until December 1, 2020 and issued him a $10,000 fine for borrowing money […]

Broker Todd Henrich Made Unsuitable, Unauthorized Transactions Clients who held accounts with securities broker Todd Joseph Henrich (CRD#: 5931911, Iselin, New Jersey) disputed his sales practices. Notably, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that 3 or more clients filed lawsuits about the sales practices of the securities broker, who worked for National Securities Corporation […]

Morgan Stanley's Tom Puentes Allegedly Sold Unsuitable Bonds Soreide Law Group is investigating potential investor claims of bad securities sales practices by broker Tom Abel Puentes [CRD#: 1713812, Langley, Washington]. Notably, FINRA BrokerCheck shows that 30 or more investors took issue with the securities broker, who associated with Morgan Stanley and Kestra Investment Services and […]

UBS Clients Indicate That Peace Murans Made Unsuitable, Unauthorized Trades Investor Alert! Financial Industry Regulatory Authority ("FINRA") BrokerCheck shows troubling information in regard to former UBS Financial Services securities broker Paul “Peace” William Murans [CRD#: 3266607, Indianapolis, Indiana]. Apparently, at least four clients took issue with the securities broker.  Notably, three of those clients filed […]

Oppenheimer's Eric Rosenberg Allegedly Made Bad Recommendations Soreide Law Group is investigating potential investor claims against securities broker Eric Brian Rosenberg [CRD#: 1027041, New York, New York]. Notably, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck reports that at least 5 clients contested the securities recommendations or sales of the securities broker, who joined Oppenheimer & Co. […]

Hilliard Lyons' Christopher Bennett Reports 15 Client Disputes Investor Alert! The Financial Industry Regulatory Authority (FINRA) shows troubling information in regard to securities broker and financial advisor Christopher Duke Bennett [CRD#: 2510231, Louisville, Kentucky]. Namely, 15 clients took issue with the securities broker, who worked for Hilliard Lyons between 1995 and 2018. Also, FINRA issued […]

Newbridge Clients Take Aim At Guy Magarelli For Allegedly Making Unsuitable Trades Soreide Law Group is investigating potential investor actions to recover losses caused by securities broker Gaetano “Guy” Magarelli [CRD#: 2227996, Boca Raton, Florida]. Notably, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck reports that no less than 6 clients contested the securities recommendations or sales […]