Investors complained about securities broker Adam Jesse Gurien [CRD: 2302341, Jupiter, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Adam Gurien has worked for Merrill Lynch Pierce Fenner Smith Incorporated since August 19, 2011. Before that, he worked for Wells Fargo Advisors LLC, from May 11, 2001, to August 22, 2011. […]

Investors potentially sustained damages through securities broker Thomas Michael Moran (also known as Tom Moran) [CRD: 709062, Naples, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Thomas Moran worked for Wells Fargo Advisors Financial Network LLC from November 15, 2018, to August 30, 2022, and for Wells Fargo Clearing Services LLC […]

Financial Industry Regulatory Authority (FINRA) charged securities broker Thomas James Baumann [CRD: 5254392, New York, New York] with violating FINRA rules on hindering investigations, according to disclosures on BrokerCheck. Not only that, but Spartan Capital Securities LLC investors complained about his sales practices. Evidently, Thomas Baumann worked for Spartan Capital Securities from January 22, 2013, […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Thomas Gerard Ley [CRD: 1127048, Toms River, New Jersey], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Thomas Ley joined Wells Fargo Clearing Services LLC and Wells Fargo Advisors on May 24, 2012. Below, you’ll […]

Investors potentially sustained damages through securities broker John William Wolf [CRD: 1846080, Appleton, Wisconsin], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, John Wolf worked for Purshe Kaplan Sterling Investments from November 20, 2009, to January 29, 2016. Below, you’ll find a summary of John Wolf’s disclosures. Cornerstone Financial Planning Investor Accused […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker James Roy Paige [CRD: 1726609, Vero Beach, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, James Paige joined Wells Fargo Clearing Services LLC and Wells Fargo Advisors on October 31, 2008. Here’s an overview […]

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 […]

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 […]

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. […]