FINRA sanctioned securities broker Matthew James Chimento [CRD: 5749914, Alpharetta, Georgia], based on the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Matthew Chimento worked for Morgan Stanley from March 13, 2023, to December 11, 2023, and for E*TRADE Securities LLC from March 1, 2018, to September 5, 2023, both in Alpharetta, Georgia. Continue […]

Securities broker Kenneth Andrews Welsh [CRD: 4657872, Fairfield, New Jersey] is currently facing investor disputes, according to FINRA BrokerCheck. Evidently, he worked for Wells Fargo from 2012 to 2021. Soreide Law Group is investigating potential claims on behalf of investors who might have suffered financial losses linked to Welsh's practices. Here’s more on the investor […]

Soreide Law Group is actively investigating potential claims on behalf of investors who may have sustained losses because of securities broker Dorinda Lynn Lumpkin (also known as Dorinda Lynn Bludsworth) (CRD: 5687234, Gadsden, Alabama). Specifically, Lumpkin worked for BBVA Securities Inc. from October 10, 2013, to July 6, 2020. Notably, the Financial Industry Regulatory Authority […]

Soreide Law Group is investigating possible investor claims against securities broker Michael Clarence Nolan (CRD: 1082281, Philadelphia, Pennsylvania). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that he voluntarily resigned from JP Morgan Chase Bank, NA. Evidently, an investor also alleges sales practice violations in a dispute, including that Nolan engaged in unauthorized trading. Here […]

Soreide Law Group is investigating possible investor claims against securities broker Lee Ray Diedrich (CRD: 2636095, Great Falls, Montana). Evidently, FINRA sanctioned the securities broker, who worked for Pruco Securities LLC. Allegedly, Diedrich committed forgery. Here is a brief summary of FINRA’s allegations against Diedrich. FINRA Suspends Lee Diedrich For Forgery Evidently, on November 16, […]

Soreide Law Group is investigating possible investor claims against securities broker Eddy C. Chou (CRD: 4685418, San Francisco, California). Evidently, FINRA sanctioned the securities broker, who worked for Ameriprise Financial Services LLC. Allegedly, Chou failed to respond to FINRA’s request for information. Here is a brief summary of FINRA’s allegations against Chou. FINRA Bars Chou […]

Soreide Law Group is investigating possible investor claims against securities broker Roman Meyerhans (CRD: 4587943, Miami, Florida). Notably, FINRA sanctioned the securities broker, who worked for Raymond James Associates Inc. Allegedly, Meyerhans made unauthorized communications with clients regarding securities business. Here is a brief summary of FINRA’s allegations against Meyerhans. FINRA Sanctions Meyerhans For Unauthorized […]

Soreide Law Group is investigating possible investor claims against John Starke (also known as John Calderwood Starke Sr.) (CRD: 3154774, Williamsburg, Virginia). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Centaurus Financial Inc. Notably, investors allege sales practice violations in these disputes, […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker John Matson (also known as John Nicholas Matson) (CRD: 1796541, Manhattan Beach, California). Notably, investors disputed the sales practices of the securities broker, who worked for LPL Financial LLC. Additionally, the securities broker discloses a regulatory enforcement action. Notably, these disclosures allege Matson […]