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 […]

HTK Broker Clay Erickson Suspended For Transferring Investor Funds Without Authorization The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Report for broker Clay Erickson (CRD#: 1583644, Salt Lake City, Utah) is troubling. Evidently, six of Erickson’s clients brought disputes about his sales practices. Not only that, but FINRA suspended Erickson and issued him a fine for […]

CHRISTOPHER CONNESS Sell You Unsuitable Investments? Soreide Law Group is investigating possible investor claims against G.F. Investment Services LLC and securities broker Christopher Conness (CRD#: 4778193, Fort Lauderdale, Florida). Namely, the firm is investigating whether Conness was negligent and failed to act in the best interests of his investor clients with respect to his alternative […]

Misconduct Alleged Against Next Financial Broker Michael Matthews Next Financial Group, Inc. (CRD#: 46214, Houston, Texas) is a FINRA and SEC regulated brokerage firm and investment advisory. Regulators have taken disciplinary action against Next Financial Group, Inc. on at least 20 occasions, according to FINRA BrokerCheck. Not only that, but the firm was found liable […]

LPL Financial Terminates Phillip Boyd, Bernard Gann LPL Financial LLC (CRD#: 6413, Boston, Massachusetts) is a Financial Industry Regulatory Authority (“FINRA”) member brokerage firm. FINRA BrokerCheck shows that the firm terminated brokers including Bernard Wayne Gann and Phillip Dennis Boyd for violating the firm’s policies or possibly violating securities rules or regulations. Here is a […]

Customers Raise Allegations Of Edward Jones Broker Misconduct Edward Jones – an investment adviser firm and brokerage firm regulated by both Financial Industry Regulatory Authority (“FINRA”) and Securities Exchange Commission (“SEC”) disclosed on its FINRA BrokerCheck Profile that on 71 occasions, the firm has been on the receiving end of a regulatory action for allegedly […]

Wells Fargo Clearing Services Brokers Face Troubling Allegations Wells Fargo Clearing Services, LLC (CRD#: 19616) is a Financial Industry Regulatory Authority (“FINRA”) regulated brokerage firm and (“SEC”) regulated investment adviser firm. Wells Fargo’s main offices are in St. Louis, Missouri. Wells Fargo has accrued 449 discloses regarding its infractions in the securities industry. 159 of […]