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, […]

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 […]

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 […]

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 […]

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 […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Walter Paul Shoczolek III [CRD: 4488009, Cornelius, North Carolina], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Shoczolek worked for Avantax Investment Services Inc. from January 28, 2015, to October 2, 2023. Keep reading to […]

Investors might have sustained losses due to securities broker Vincent Anthony Sharpe (also known as Vincent Ottomanelli-Sharpe) [CRD: 5435813, Syosset, New York], according to disclosures on FINRA BrokerCheck. Evidently, Vincent Sharpe worked for Aegis Capital Corp. from August 5, 2016, to October 18, 2019, in Red Bank, New Jersey. Following his employment at Aegis Capital […]

Financial Industry Regulatory Authority (FINRA) sanctioned broker Valence Montgomery Williams [CRD: 1389729, New York, New York]. Williams's career includes positions at J.H. Darbie Co. Inc. from July 17, 2018, to December 19, 2023, and at Aegis Capital Corp. from March 23, 2010, to July 18, 2018, both based in New York, NY. Here’s a closer […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Tim Paul Peyton [CRD: 1773817, Gretna, Louisiana], given the disclosures on FINRA BrokerCheck. Evidently, Tim Peyton worked for Salomon Smith Barney from April 1994 to April 2001. Crown Capital Securities LP Investor Accused Peyton Of Unsuitable Recommendations Particularly, […]