The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Jeffrey Marburger AKA Jeffrey Ernest Marburger [CRD#: 2872490, Dover, OH]. However, Marburger denies the allegations. Read on to learn more about the allegations against Marburger. FINRA Sanctions WS Brokerage Services Securities Broker Jeffrey Marburger For Failure To Testify Evidently, on May 18, 2022, […]

Soreide Law Group is investigating possible investor claims against securities broker Walter Light AKA Walter Wai Tak Light [CRD#: 1494331, Richardson, TX]. Notably, FINRA sanctioned the securities broker, who worked for Treasure Financial Corp. Allegedly, Light made unauthorized transactions. Here is a brief summary FINRA’s allegations against Light. FINRA Sanctions Treasure Financial Corp. Securities Broker […]

Soreide Law Group is investigating possible investor claims against securities broker David Geake AKA David Richard Geake [CRD#: 3088891, Chicago, IL]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for American Trust Investment Services. Evidently, investors allege sales practice violations in these disputes, […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Ernest Frerking AKA Ernie Frerking [CRD#: 2588177, Austin, TX]. Evidently, investors disputed the sales practices of the securities broker, who worked for Merrill Lynch Pierce Fenner Smith. Additionally, the securities broker discloses a regulatory enforcement action. However, Frerking denies the allegations of sales […]

Investors have come forward with complaints about securities broker John Egan AKA John Eugene Egan [CRD#: 818750, Boca Raton, FL]. Evidently, the securities broker, who worked for Newbridge Securities Corp., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Newbridge Securities Corp. clients allege that Egan breached a fiduciary duty, breached a contract, […]

Soreide Law Group is investigating possible investor claims against securities broker Charles Burford AKA Scott Burford [CRD#: 1658201, Dallas, TX]. Evidently, FINRA filed an enforcement or civil action against the securities broker, who worked for Hilltop Securities, Independent Network (Momentum Independent Network), and Burford Brothers. Allegedly, Burford made unauthorized transactions. Here is a brief summary […]

Soreide Law Group is investigating possible investor claims against securities broker Allyson Jo Trantum [CRD#: 2896970, Temecula, CA]. Trantum has worked for J.W. Cole Advisors Inc. from 2018-Present and LPL Financial LLC from 2016-2018. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that a J.W. Cole Financial client disputed Trantum’s sales practices and that LPL […]

Soreide Law Group is investigating possible investor claims against securities broker Edward Lawrence Turley, AKA Ed Turley [CRD#: 1872294, San Francisco, CA]. Turley worked for (1) J.P. Morgan Securities LLC from 2009-2021; (2) Lehman Brothers Inc. from 1995-2005; and CS First Boston Corporation from 1992-1995. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that one […]

The Financial Industry Regulatory Authority (FINRA) reports important information regarding securities broker James William Dunn Jr. [CRD#: 6084258, Vienna, VA]. Dunn worked for (1) Ameriprise Financial Services LLC from 2019-2021; (2) Wells Fargo Clearing Services LLC from 2015-2019; and (3) Morgan Stanley from 2012-2015. Evidently, FINRA barred Dunn as a securities broker. Also, one or […]