Soreide Law Group is investigating possible investor claims against Darrell Smith (also known as Darrell Anthony Smith Jr.) (CRD: 6774881, Memphis, Tennessee). Notably, FINRA sanctioned the securities broker, who worked for Wells Fargo Clearing Services LLC. Allegedly, Smith failed to testify when FINRA investigated the securities broker for possible FINRA rule violations relating to unauthorized […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Miche Jean (also known as Miche D. Jean) [CRD: 5918186, Rockville, MD]. Not only has FINRA sanctioned Jean for unauthorized transactions, but investors complained about the securities broker. However, Jean denies the allegations. Read on to learn more about the allegations against Jean. […]

Soreide Law Group is investigating possible investor claims against securities broker Greg Hanshew (also known as Gregory Scott Hanshew) [CRD: 2624600, Littleton, CO]. Mainly, FINRA sanctioned the securities broker, who worked for Infinity Financial Services. Allegedly, Greg Hanshew failed to provide information and documents to FINRA when it investigated potential FINRA rule infractions. Here is […]

Investors have come forward with complaints about securities broker Thomas Caine Shultz (CRD:  5614228, Scottsdale, AZ). Evidently, the securities broker, who worked for Coastal Equities Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Coastal Equities Inc. clients allege that Shultz made unsuitable recommendations and failed to perform due diligence. For more […]

Soreide Law Group is investigating possible investor claims against securities broker Bradley Stephen Kavanagh (CRD:  5784000, Baton Rouge, LA). Evidently, FINRA sanctioned the securities broker, who worked for Park Avenue Securities LLC. Allegedly, Kavanagh did not submit information and documents to FINRA when it investigated potential FINRA rule violations. Here is a brief summary of […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Rhett Douglas Bedwell (CRD:  5664392, Rogers, AR). 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. However, Bedwell denies the allegations of sales practice violations. Read on […]

Soreide Law Group is investigating possible investor claims against securities broker Jason Seurer AKA Jason Edward Seurer [CRD#: 2541616, Maple Plain, MN]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Landolt Securities. Notably, investors allege sales practice violations in these disputes, including […]

Investors have come forward with complaints about securities broker William Gamble [CRD#: 1524488, Hollywood, FL]. Evidently, the securities broker, who worked for Wells Fargo Clearing Services, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Wells Fargo Clearing Services clients allege that Gamble made unauthorized transactions. For more on these disclosures about Gamble, […]

Soreide Law Group is investigating possible investor claims against securities broker Jonathan Rich AKA Jonathan Craig Rich [CRD#: 2271478, New York, NY]. Notably, FINRA sanctioned the securities broker, who worked for National Securities Corp. Allegedly, Rich failed to testify when FINRA investigated the stockbroker for possible violations of FINRA rules. Here is a brief summary […]