Morgan Stanley Clients Allege Damages In Disputes About Broker Jesus Rodriguez The Financial Industry Regulatory Authority (FINRA) provides important information in regard to securities broker Jesus Rodriguez “Jesus Rodriquez” (CRD#: 4888685, El Paso, Texas). Evidently, Rodriguez worked for securities firm Morgan Stanley from 2009 to 2021. Notably, he faces allegations of unsuitable and unauthorized trading […]

Broker Timothy Cunningham Involved In JP Morgan Client Disputes Regarding Unauthorized Trading Investment loss recovery counsel at Soreide Law Group provides you with new information on securities broker Timothy Joseph Cunningham (CRD#: 4472387, White Plains, New York), who discloses information about investor complaints on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Cunningham worked […]

Transamerica Client Files Dispute Involving Barred Securities Broker Mark Smith The Financial Industry Regulatory Authority (FINRA) provides important information in regard to the disclosures of securities broker Mark Smith (CRD#: 5776360, Greenwood Village, Colorado). This includes a FINRA bar and an investor dispute concerning his employment at Transamerica Financial Advisors (his employer from January 2012 […]

Broker Walter Hall Discharged As Securities Broker By Coastal Equities The Financial Industry Regulatory Authority (FINRA) contains new information in regard to securities broker Walter Scott Hall (CRD#: 3109886, Memphis, Tennessee). It appears that Hall used to work for securities firms NYLife Securities (April 2007 to July 2020) and Coastal Equities (September 2020 to February […]

Investor Alleges Sales Practice Violations By Money Management Advisory's Edgar Mock Soreide Law Group comes to you with new information in regard to securities broker Edgar Davis Mock (CRD#: 1309680, Feasterville, PA). Namely, an investor alleged sales practice violations, including breach of fiduciary duty, in a dispute involving Mock. This concerns Mock's actions at Money […]

Raymond James Client's Suitability Dispute Reportedly Involves Broker Bill Conn Financial Industry Regulatory Authority (FINRA) provides new information in regard to securities broker William Joseph Conn (“Bill Conn”) (CRD#: 1477107, San Francisco, California). Specifically, three investors filed disputes about the securities broker, who worked for Salomon Smith Barney and Raymond James. Here’s more on the […]

Thrivent Broker Nicholas Baecker Sanctioned By Oregon Division Of Financial Regulation, FINRA Soreide Law Group comes to you with important information regarding securities broker Nicholas Gregory Baecker (CRD#: 5618205, Portland, Oregon). Specifically, the Financial Industry Regulatory Authority (FINRA) and the Oregon Division of Financial Regulation sanctioned Baecker. Not only that, but one of Baecker’s clients […]

Client Files Dispute About Barred Integrity Broker Joshua Helmle Financial Industry Regulatory Authority (“FINRA”) shows new information on BrokerCheck regarding securities broker Joshua Nathan Helmle (CRD#: 2195760, Monterey Park, California). Specifically, a client filed a dispute alleging sales practice violations. This comes after Integrity Brokerage LLC permitted Helmle to resign and after FINRA indefinitely barred […]

Broker Jenna Kang (Equitable Advisors) Barred By FINRA, Accused Of Unauthorized Transactions By Investors Soreide Law Group is investigating bringing potential investor disputes against securities broker Jenna Kang (“Jihye Kang”) (CRD#: 6334679, Los Angeles, CA). Notably, FINRA barred Kang in October 2020 because she allegedly failed to comply with an investigation. Not only that, but […]