Soreide Law Group is investigating possible investor claims against securities broker Brad Michael Jacobson [CRD: 4859099, Linwood, New Jersey]. Notably, FINRA punished the securities broker, who worked for Wells Fargo Clearing Services LLC. Allegedly, Jacobson did not comply with FINRA investigators. Here is a brief summary of FINRA’s allegations against Jacobson. FINRA Sanctions Jacobson For […]

Cetera And Girard Clients File Suitability Disputes Involving Securities Broker Robert Wolfe Soreide Law Group provides this update on securities broker Robert Brian Wolfe (CRD#: 2268259, Fort Lauderdale, FL). Evidently, Wolfe worked as a securities broker or financial advisor at Girard Securities from 2009 to 2017, Cetera Advisor Networks from 2017 to 2020, Mercer Allied […]

RBC Broker Dan Peltier Fined, Suspended For Stock Manipulation Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of sales practice violations by RBC Capital Markets securities broker Dan Peltier [CRD#: 2677761, Stillwater, Minnesota]. Not only has FINRA sanctioned the securities broker, but at least 3 clients disputed his sales practices. Altogether, these […]

BILL UTANSKI Sell You Unsuitable Investments? The Financial Industry Regulatory Authority (“FINRA”) shows that investors disputed the sales practices of Ameriprise Financial Services Inc. securities broker Bill Utanski (CRD#: 2576809, Fort Lauderdale, Florida). Notably, since January 15, 2015, four investors brought complaints or FINRA Arbitrations suggesting Utanski made unsuitable investments. Here is a summary of […]

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 […]

Soreide Law Group Investigating Wells Fargo Advisors Brokers WILLIAM SWETT, ROY LE BLANC, KEVIN LYNAR Soreide Law Group is investigating claims on behalf of those who invested with brokers of Wells Fargo Clearing Services, LLC (CRD#: 19616, St. Louis, Missouri), also known as Wells Fargo Advisors.  Specifically, the Financial Industry Regulatory Authority (“FINRA”) reports that […]

ATTENTION INVESTORS: Complaints Filed Against Brokers Cheskel Gottlieb, Mark Wasikonis, Stephen Wingard, Phillip Barringer MML Investors Services, LLC (CRD#: 10409, Springfield, Massachusetts) does business as an investment adviser firm and as a brokerage firm. The Financial Industry Regulatory Authority (“FINRA”) and the Securities and Exchange Commission (“SEC”) regulate MML Investors Services, LLC. Notably, according to […]

ATTENTION INVESTORS: Complaints Filed Against Mitchell Brian Walk Mitchell Brian Walk (CRD#: 3195375, Longwood, Florida) is presently a general securities representative of Kestra Investment Services, LLC. Walk, who has been employed with the firm since January 2, 2001, works out of the firm’s Longwood, Florida, Sarasota, Florida and St. Augustine, Florida offices. Notably, Walk disclosed […]

INVESTOR ALERT!Customer Complaints About Ralph Quintana II, Centaurus Financial, Inc. Ralph Quintana II (CRD#: 2284803, Upland, California) is currently a broker for Centaurus Financial, Inc. Apparently, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Report for Quintana shows that at least five investors filed disputes about his conduct. Notably, Pruco Securities, LLC and Centaurus Financial, Inc. customers […]