Soreide Law Group is presently investigating potential claims on behalf of investors who may have sustained financial losses due to the actions of Bryan Edward Davidson (CRD: 5445540, Scottsdale, Arizona). Evidently, Davidson worked for BMO Harris Financial Advisors, Inc. as both a financial advisor and broker from September 26, 2014, to March 24, 2021. Additionally, […]

Investors have come forward with complaints about Seth Gordon Mason [CRD: 1540891, Grand Rapids, Michigan]. Evidently, the securities broker, who worked for Morgan Stanley Smith Barney, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Morgan Stanley Smith Barney clients allege that Mason engaged in unsuitable trading. For more on these disclosures about […]

Soreide Law Group is investigating possible investor claims against securities broker Jonathan Walter Way [CRD: 1126849, Napa, California]. Notably, FINRA sanctioned the securities broker, who worked for Wedbush Securities Inc. Allegedly, Way failed to comply with FINRA in a probe. Here is a brief summary of FINRA’s allegations against Way. FINRA Sanctions Way For Failure […]

Soreide Law Group is investigating possible investor claims against securities broker Edward Isaac Rosenblatt [CRD: 2658712, Newport Beach, California]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Cetera Advisor Networks LLC. Evidently, investors allege sales practice violations in these disputes, including breach […]

Investors have come forward with complaints about Bret Clinton Schaefer (also known as Bret Shaefer) [CRD: 2577117, Greenville, Wisconsin]. Evidently, the securities broker, who worked for Woodbury Financial Services Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. For more on these suitability-related disclosures about Schaefer, see below. The broker denies the accusations […]

Garden State Broker Ronald Richer Barred By FINRA Soreide Law Group is determining whether to bring lawsuits on behalf of investors against securities broker Ronald Richer (CRD#: 2988381, New York, New York). Namely, the Financial Industry Regulatory Authority (“FINRA”) indicates through BrokerCheck that Richer has nine disclosures on his record. These disclosures not only concern […]

Stifel Nicolaus Clients Take Aim At Andrew Elsoffer For Possibly Breaching Fiduciary Duty Soreide Law Group is investigating potential investor claims of breach of fiduciary among other sales practice violations by securities broker Andrew Elsoffer (CRD#: 2580009, Pepper Pike, Ohio). Namely, at least 8 investors filed disputes about the broker, who worked for Stifel Nicolaus […]

Did Morgan Stanley's Daniel Reilly Cause Your Investment Losses? FINRA BrokerCheck reports troubling allegations against Morgan Stanley securities representative Daniel Reilly (CRD#: 4752371, New York, New York). Specifically, the securities broker, who worked for Morgan Stanley from February 20, 2015 to June 15, 2018, discloses two clients disputes which settled through payments to them, and […]

FINRA Fines, Suspends UBS Financial Broker SCOTT MINTZ For Discretionary Trading The Financial Industry Regulatory Authority (“FINRA”) just issued UBS Financial Services Inc. broker Scott Blake Mintz (CRD#: 4783179, Hartford, Connecticut) a suspension and required Mintz to pay a $5,000.00 fine for alleging making discretionary trades in the accounts of UBS Financial Services investors. FINRA […]