Soreide Law Group is investigating potential claims on behalf of investors who may have experienced financial losses due to the actions of securities broker Eric William Davidson [CRD#: 2731195, Portland, Oregon]. He has been registered with Aegis Capital Corp. since July 2, 2015. Previously, he was affiliated with Paulson Investment Company Inc. Among the concerns […]

Soreide Law Group is currently investigating potential claims on behalf of investors who may have sustained losses through the actions of securities broker Stephen Curtis Lawler Jr. (CRD: 1193477, Peoria, Illinois). Lawler has been registered with Cetera Advisors LLC since September 8, 2022, and with Cetera Financial advisors LLC since November 12, 2020. Notably, he […]

Soreide Law Group is conducting an investigation into potential claims on behalf of investors who may have suffered financial losses due to the actions of securities broker James Arthur Allen (also known as Jim Allen) (CRD#: 2287824, Chicago, Illinois). Allen has had affiliations with several employers during his career, most recently with Oppenheimer & Co. […]

Soreide Law Group is investigating possible investor claims against securities broker William Worthen King (also known as Bill King) [CRD: 1432593, Vero Beach, Florida]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Merrill Lynch. Evidently, investors allege sales practice violations in these […]

Investors have come forward with complaints about Thomas Paul Tibaldi [CRD: 2672406, East Meadow, New York]. Evidently, the securities broker, who worked for Citigroup Global Markets Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Citigroup Global Markets Inc. clients allege misrepresentation and breach of fiduciary duty. For more on these disclosures […]

Soreide Law Group is investigating possible investor claims against securities broker David Alan Snavely (also known as Dave Snavely) [CRD: 2030866, Des Moines, Washington]. Notably, FINRA sanctioned the securities broker, who worked for Cetera Advisors LLC. Allegedly, Snavely failed to cooperate with FINRA. Here is a brief summary of FINRA’s allegations against Snavely. FINRA Sanctions […]

Soreide Law Group is investigating possible investor claims against Kevin Thomas Fles (CRD: 4747383, Sikeston, Missouri). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Cetera Advisors LLC. Evidently, one or more investors alleged misconduct in these disputes, including that Fles made unsuitable […]

Securities Broker Byron Treat Barred For Allegedly Failing To Comply In FINRA Investigation Over Church Bond Sales Soreide Law Group provides you with an update regarding the FINRA BrokerCheck disclosures connected to securities broker Byron Pat Treat (CRD: 1466393, Amarillo, Texas). Namely, FINRA barred Treat indefinitely following an investigation into his supervision of illiquid investment […]

Broker Larry Labine Targeted In Investor Lawsuits Soreide Law Group is examining possible investor lawsuits to be brought against securities broker Lawrence “Larry” Michael Labine (CRD#: 1279935, Scottsdale, Arizona). Notably, clients of Labine at Newbridge Securities Corporation challenged his sales practices. Supposedly, Labine caused them to experience losses. Let’s take a closer look at some […]