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July 23, 2024
Christopher McCoy In Calton Client Complaints

Investors potentially sustained damages through securities broker Christopher Joseph McCoy [CRD: 4113108, Montclair, New Jersey], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Not only that, but FINRA sanctioned him for unauthorized trading. Evidently, Christopher McCoy worked for Calton Associates Inc. from August 31, 2012, to December 20, 2022. Below, you’ll find a […]

July 7, 2024
William Collins Facing Morgan Stanley Client Disputes Over Unauthorized Trading

Investors might have sustained losses due to securities broker William Lief Collins (also known as Bill Collins) [CRD: 2787822, Farmington Hills, Michigan], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, William Collins worked for Morgan Stanley from May 28, 2010, to September 21, 2023. Keep reading to learn more about the securities […]

June 27, 2024
Matt Ward Fined, Involved In Client Complaint

Investors might have sustained losses due to securities broker Matt Abeywardena Ward [CRD: 2075525, Santa Monica, California], according to disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Ward joined A.G.P. / Alliance Global Partners on April 4, 2012. Continue reading to learn more about Matt Ward’s regulatory issues and the implications for investors. […]

June 26, 2024
Luke Lannister Faced Client Allegations Of Misrepresentation

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Luke Foster Lannister (also known as Lucas Foster Seward) [CRD: 6317373, Rockville, Maryland], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Luke Lannister worked for Grove Point Investments LLC from February 16, 2021, to November 28, […]

June 17, 2024
Gustavo Miramontes Facing Oppenheimer Clients’ Unauthorized Trading Complaints

Investors might have sustained losses because of securities broker Gustavo Santos Miramontes [CRD: 2338966, Los Angeles, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Gustavo Miramontes joined Oppenheimer Co. Inc. on August 13, 2018, and previously worked for Wedbush Securities Inc. from January 14, 2015, to August 16, 2018. Keep reading […]

May 11, 2024
Johnathan Hagood Received FINRA Bar Following Client Dispute

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 […]

May 9, 2024
Jason Wolter Received FINRA Fine For Unauthorized Trading

Investors might have sustained losses due to securities broker Jason W. Wolter [CRD: 2934037, Greenwich, Connecticut], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Jason Wolter worked for J.P. Morgan Securities LLC from March 6, 2015, to July 2, 2019, and subsequently for Morgan Stanley since June 28, 2019. Continue reading to […]

May 6, 2024
Jack Newhouse Disclosed Merrill Lynch Client Complaints

Investors might have sustained losses due to securities broker Jack Edward Newhouse [CRD: 2108923, Muskegon, Michigan], based on the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Jack Newhouse was previously registered with Merrill Lynch Pierce Fenner Smith Incorporated from March 27, 2009, to June 9, 2022. Continue reading to learn more about Newhouse’s […]

May 3, 2024
UBS Clients Filed Disputes About Donald Dever

Investors might have sustained losses due to securities broker Donald J. Dever [CRD: 5317492, West Palm Beach, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Donald Dever joined UBS Financial Services Inc. on December 2, 2015. Continue reading to learn more about the disclosures involving Dever. UBS Financial Services Inc. Accused […]

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