FINRA suspended and fined securities broker Andre Krause [CRD: 4060322, Woodbridge, New Jersey], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Andre Krause joined The Investment Center Inc. on January 14, 2005. Keep reading to learn more about Andre Krause’s regulatory issues and how they might have affected his clients. FINRA Fined […]

Securities Broker John Kellar Might Have Caused Investor Losses Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports six investor disputes on the BrokerCheck report of securities broker John P. Kellar (CRD#: 1436046, Naples, Florida). Namely, investors who brought disputes indicate that Kellar, who presently works for Wells Fargo, seemingly sold unsuitable investments causing losses. […]

INVESTORT ALERT: Customer Complaints Filed Against Presidential Brokerage, Gregory Williams Gregory Jon Williams (CRD#: 1561089, Greenwood Village, Colorado) is a licensed securities representative of Presidential Brokerage, Inc. Apparently, he has transacted with investors through the Greenwood Village, Colorado offices as early as April 20, 2011. The Financial Industry Regulatory Authority (“FINRA”), who regulates broker-dealers and […]

INVESTOR ALERT: FINRA Bars Floyd Powell For Selling Fraudulent Investments Floyd Earl Powell (CRD#: 2220029, Albertville, Alabama) is a prior MML investors Services, LLC and MSI Financial Services registered representative who the Financial Industry Regulatory Authority (“FINRA”) barred for selling unregistered investments away from the firm. Specifically, FINRA barred Powell pursuant to a Letter of […]

LPL Financial Disaffiliates With Mark Thomas Lamkin For Private Securities Transactions Mark Thomas Lamkin (CRD#: 2121510, Louisville, Kentucky) is a prior LPL Financial LLC securities representative. Apparently, Lamkin worked in the firm’s Louisville, Kentucky offices between February 9, 2001 and September 14, 2018. Notably, LPL Financial LLC discharged Lamkin for engaging in misconduct that could […]

ATTENTION INVESTORS: Carter Validus Mission Critical REIT Losses? Soreide Law Group is evaluating claims against brokers and financial advisors who may have made unsuitable recommendations for investors to buy Carter Validus Mission Critical REIT products. Carter Validus Mission Critical REIT Share Prices Drop Significantly In Estimated Value Apparently, Carter Validus (CV) has offered investors non-traded […]

Soreide Law Group Investigating KBS Strategic Opportunity REIT II Soreide Law Group is investigating potential claims on behalf of investors who bought KBS Strategic Opportunity REIT II because of the advice of their brokers or financial advisors. KBS Strategic Opportunity REIT II is a publicly registered non-traded real estate investment trust that concentrates in the […]

UBS Discloses Misconduct Allegations Against Brokers Julian Gingold, Robert Shultz, Gayle Dilla UBS Financial Services (CRD#: 8174, Weehawken, New Jersey), which is FINRA registered brokerage firm and SEC registered investment adviser firm, has disclosed through FINRA BrokerCheck that several of its own employees allegedly engaged in misconduct harming UBS Financial Services customers. For example, take […]

INVESTOR ALERT: Claims Against Michael Fitzgerald For Unsuitable Equity Investments Michael Edward Fitzgerald (CRD#: 209062, San Francisco, California) is a prior Morgan Stanley registered representative who worked at the firm’s San Francisco offices from June 1, 2009 to June 1, 2018. Apparently, Fitzgerald has sold investors equities including LINN Energy, Inc. (OTC: LNGG) and Seadrill […]