The Financial Industry Regulatory Authority (FINRA) reports allegations of sales practice violations by securities broker Patrick Allen English [CRD #: 5189025, Phoenix, AZ]. English worked for (1) Comerica Securities from 2016-2021; (2) Fidelity Brokerage Services from 2015-2016; and (3) Comerica Securities from 2011-2015. Not only has Financial Industry Regulatory Authority (FINRA) barred the securities broker […]

Soreide Law Group is investigating possible investor claims against securities broker Jimmy Yang Driggers AKA Jimmy Driggers [CRD #: 1359593, Sarasota, FL]. Driggers worked for (1) Morgan Stanley from 2009-2021; (2) Morgan Stanley & Co. Inc. from 2008-2009; and (3) UBS Financial Services from 1996-2008. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that Morgan […]

Soreide Law Group is investigating possible investor claims against securities broker Timothy Joseph Scanlon [CRD#: 1968597, Scottsdale, Arizona]. Specifically, FINRA BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Arque Capital Ltd. and Merrill Lynch. Evidently, one or more clients allege sales practice violations in these disputes, including unsuitable […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Jody Bryant Bowers (CRD#: 4798818, Abilene, Texas). Namely, two clients disputed the sales practices of the securities broker, who worked for Sagepoint Financial Inc. from 2012 to 2014 and Lowell & Company Inc. from April 2014 to June 2018. Here’s more on the […]

Financial industry watchdog, FINRA, barred securities broker Michael Paul Francoeur (CRD#: 5534184, Somersworth, New Hampshire). Notably, this bar prevents Francoeur from associating with FINRA-member firms, some of whom are major financial institutions. It appears that Francoeur refused to give information to FINRA in regards to a client complaint. Also, BrokerCheck shows that Cambridge Investment Research […]

The Financial Industry Regulatory Authority (FINRA) contains important information regarding securities broker Bradley S. Lay, who is also known as Brad Lay (CRD#: 4633746, Franklin, Tennessee). Evidently, Lay is listed on BrokerCheck as having worked for Raymond James as a securities broker and financial advisor (2013 to 2019) and SA Stone Wealth Management as a […]

Broker Bradley Goodbred Barred By FINRA, Involved In LPL Client Dispute Securities broker Bradley Allen Goodbred (CRD#: 3184210, Roselle, Illinois) discloses an investor dispute and a regulatory sanction on BrokerCheck. It appears that disclosures involving Goodbred concern his securities broker role at securities firm LPL Financial LLC (his employer from 2009 to 2021). Read further […]

Barred Securities Broker Ian Ha Involved In AXA Advisors Client Disputes The Financial Industry Regulatory Authority (FINRA) provides important information in regard to securities broker Ian Ha (CRD#: 5679255, Los Angeles, California). It appears that the disclosures involving Ha may concern his employment at securities firms Infinity Financial Services (his employer from 2018 to 2020) […]

Allstate Broker Jimmy Nunez Suspended By FINRA And Involved In Investor Dispute Soreide Law Group discusses disclosures on Jimmy William Nunez (CRD#: 6432136, Edgewater, New Jersey). Evidently, Nunez worked as a securities broker for Allstate Financial Services from 2015 to 2020. Let’s take a closer look at the allegations of unauthorized transactions as reported on […]