Customer Disputes Sales Practices Of UBS’ John Seiberling Fulton John Seiberling Fulton (CRD#: 2481439, West Palm Beach, Florida) is a UBS Financial Services Inc. financial advisor. He has been registered with the firm since July 10, 2002. Fulton reported on his Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Profile that a customer lodged a dispute about […]

UBS’ David Howard Fagenson Allegedly Misrepresented Investments David Howard Fagenson (CRD#: 1652012, Palm Beach, Florida) is a securities broker who previously worked for UBS Financial Services Inc. between September 3, 2010 and October 19, 2016. UBS Financial Services Inc. reported on Fagenson’s FINRA BrokerCheck Report that a customer of Fagenson’s had made false promises about […]

Suitability Claims Lodged Against Morgan Stanley Broker James E. Brooks James E. Brooks (CRD#: 31604, Boca Raton, Florida) is a prior financial advisor of Morgan Stanley. The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Report for Brooks shows that Brooks’ sales practices have been contested by at least four investors through their filing of investment-related complaints […]

Boca Raton Broker Robert David Child Sued For Unsuitability Soreide Law Group is investigating claims on behalf of customers who invested with Robert David Child (CRD#: 500359, Boca Raton, Florida). Robert David Child has worked for brokerage firms including National Securities Corp (November 12, 2012 to September 18, 2017), vFinance Investments Inc. (August 8, 2001 […]

Raymond James & Associates Subject Of Customers’ Fraud Allegations Soreide Law Group is investigating claims on behalf of those who invested with Raymond James registered representatives including Jonathan Towne Melges, Philip Thomas Maurer, Mark David Kopkin, Eric Paul Frey and Clay Cale Rucker. Raymond James & Associates, Inc. (CRD#: 705, Saint Petersburg, Florida) is a […]

Customers Allege Against Morgan Stanley Sold Unsuitable Investments Morgan Stanley (CRD#: 149777, Purchase, New York) is a Financial Industry Regulatory Authority (“FINRA”) member brokerage firm and Securities and Exchange Commission (“SEC”) registered investment adviser firm. Evidently, Morgan Stanley has been party to forty-three regulatory events regarding its apparent violations of investment-related regulations or rules. At […]

LPL Financial Sued By Investors Over Unsuitable Annuity Sales LPL Financial LLC (CRD#: 6413, Boston, Massachusetts) ) is a brokerage firm regulated by Financial Industry Regulatory Authority (“FINRA”) who has reported one hundred twenty-nine regulatory events concerning allegations of LPL Financial’s violations of regulations or rules in the securities industry. Additionally, LPL Financial has also […]

Independent Financial Group Sued Over Unreasonable Advice Independent Financial Group (CRD#: 7717, San Diego, California) is a brokerage firm regulated by Financial Industry Regulatory Authority (“FINRA”) who has reported five regulatory events about the firm’s alleged violations of investment-related regulations. Also, several Independent Financial Group representatives, including Steven Collins, John Michael Cione and Leticia Hewko, […]

Edward Jones Sued By Customers Alleging Suitability, Negligence Soreide Law Group is investigating claims on behalf of those who invested with Edward Jones financial advisors including Joe Alan Green, Krystie Lynn Wear, Edward Hardy Dawkins, Kevin Scott Lake and Regina Sheila Gleghorn. Edward Jones (CRD#: 250, Saint Louis, Minnesota) is a Financial Industry Regulatory Authority […]