Investors have come forward with complaints about securities broker Jason Eugene Tarver (CRD: 2569913, Frisco, Texas). Evidently, the securities broker, who worked for Merrill Lynch, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Merrill Lynch clients allege that Tarver made unsuitable recommendations and engaged in unauthorized trading. For more on these disclosures […]

Soreide Law Group is investigating possible investor claims against Daniel Richard Hajduk (CRD: 830330, Mount Prospect, Illinois). Notably, FINRA sanctioned the securities broker, who worked for Coordinated Capital Securities Inc. Allegedly, Hajduk failed to testify when FINRA carried out an investigation. Here is a brief summary of FINRA’s allegations against Hajduk. FINRA Bars Daniel Hajduk […]

Soreide Law Group is investigating possible investor claims against Gustavo Santos Miramontes (CRD: 2338966, Los Angeles, California) and his sale of Mullen Automotive Inc. (NASDAQ: MULN), among other securities. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Oppenheimer Co. Inc. Not only […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Avi Elliot Schottenstein (CRD: 5708665, New York, New York). Not only has Illinois moved for sanctions against Schottenstein, but one or more investors disputed the sales practices of the securities broker. However, Schottenstein denies the allegations. Read on to learn more about the […]

Investors have come forward with complaints about Tim Russell Gerds (CRD: 2651778, Hubertus, Wisconsin). Evidently, the securities broker, who worked for JW Cole Financial Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Particularly, JW Cole Financial Inc. clients allege that Gerds engaged in unauthorized trading and charged excessive fees. For more on […]

Investors have come forward with complaints about John James Forster (CRD: 1303832, Washington, DC). Evidently, the securities broker, who worked for Merrill Lynch Pierce Fenner Smith Incorporated, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Also, a Merrill Lynch Pierce Fenner Smith Incorporated client alleges that Forster failed to act in the client's […]

Investors have come forward with complaints about David Aubrey Dunfee (CRD: 2607525, Bangor, Maine). Evidently, the securities broker, who worked for Key Investment Services LLC, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Particularly, Key Investment Services LLC clients allege unsuitable recommendations. For more on these disclosures about Dunfee, see below. Key Investment […]

Soreide Law Group is investigating possible investor claims against securities broker Robert Edward Bortz Jr. (CRD: 1018691, Waukesha, Wisconsin). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Equitable Advisors LLC. Supposedly, one or more individuals claim that Bortz made omissions. Here is […]

Investors have come forward with complaints about Gary Gustave Benson (CRD: 1182211, Encino, California). Evidently, the securities broker, who worked for NPB Financial Group LLC, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Particularly, NPB Financial Group LLC clients allege that Benson made unsuitable recommendations. For more on these disclosures about Benson, see […]