Soreide Law Group is investigating possible investor claims against securities broker Keith Craig Baron [CRD: 3231494, Jericho, New York]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Equity Services Inc. Evidently, investors allege sales practice violations in these disputes related to misappropriation. […]

Soreide Law Group is investigating possible investor claims against securities broker Michael Dorband (also known as Michael D. Dorband) [CRD: 5770436, Blue Springs, MO]. Evidently, FINRA sanctioned the securities broker, who worked for Berthel Fisher Company Financial Services Inc. Allegedly, Dorband failed to respond to FINRA’s request for information. Here is a brief summary of […]

Securities Broker Allyson Jo Trantum Discloses Investor Dispute And Employment Termination Soreide Law Group is examining an investor dispute concerning securities broker Allyson William Trantum aka Allyson Jo Wilson (CRD#: 2896970, Temecula, California), as disclosed on FINRA BrokerCheck. Particularly, Trantum, who works for securities firm JW Cole Financial Inc. and investment advisory JW Cole Advisors […]

Securities Broker Jeff Salazar Sanctioned, Involved In American Portfolios Client Disputes Investment loss recovery counsel at Soreide Law Group provide you with new information on securities broker Joffre Salazar “Jeff Salazar” (CRD#: 2185914, Staten Island, New York). The broker discloses information about a client dispute and regulatory enforcement action on BrokerCheck. Evidently, Salazar was a […]

Securities Broker Donald Sperring (AXA Advisors, Equitable Advisors) Barred, Involved In Client Disputes The Financial Industry Regulatory Authority (FINRA) contains important information on securities broker Donald George Sperring (CRD#: 2462982, Pittsburgh, Pennsylvania). Specifically, BrokerCheck shows that Sperring is involved in three investor disputes. Not only that, but he also received a FINRA bar (expulsion) in […]

Raymond James, Morgan Stanley Clients Voice Concerns About Securities Broker Belk Daughtridge Soreide Law Group is reviewing investor complaints concerning securities broker John Belk Daughtridge “Belk Daughtridge” (CRD#: 2735851, Mount Pleasant, South Carolina), as disclosed on FINRA BrokerCheck. Evidently, Daughtridge worked for Citigroup Global Markets, Morgan Stanley, and Raymond James & Associates. Read further to […]

Investor Brings Dispute About Securities Broker Hal Schwartz's Investment Strategy The Financial Industry Regulatory Authority (FINRA) contains important investor-related information concerning securities broker Harold Alan “Hal” Schwartz (CRD#: 841225, Winter Springs, Florida). Namely, the securities broker is involved in three investor disputes. Clients allege sales practice violations at Leaders Group or Royal Alliance. It also […]

Broker George Warner Barred By FINRA, Involved In Investor Dispute Alleging Selling Away Soreide Law Group is investigating potential investor disputes to bring against securities broker George Marshall Warner Jr. (CRD#: 2300570, Staten Island, New York). Evidently, FINRA barred Warner as a securities broker in March 2021 because of him failing to comply with an […]

Lek Securities Corporation's Sam Lek Involved In Investor Dispute The Financial Industry Regulatory Authority (“FINRA”) reports a new investor dispute regarding securities broker Samuel Frederik Lek (CRD#: 1642936, New York, New York). It appears that two investor disputes have been filed against the securities broker since March 2019. Not only that, but securities regulators have […]