Broker Rodney Potratz Allegedly Caused Investor To Lose Millions The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of sales practice violations by Rodney D. Potratz (CRD#: 2367896, Clive, Iowa). Apparently, the securities broker, who joined FSC Securities Corporation in 2003 and who works in its California and Iowa offices, is subject of two investor […]

Wells Fargo's Sanjay Mathur Supposedly Sold Unsuitable And Misrepresented Investments Soreide Law Group is reviewing possible investor claims against Wells Fargo securities broker Sanjay Mathur [CRD#: 1144243, Newport Beach California]. Evidently, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that at least 5 clients raised serious concerns about the securities broker, who joined Wells Fargo Advisors […]

Losses From VII Peaks Co-Optivist Income BDC II? Did you invest in VII Peaks Co-Optivist BDC II because of your broker or financial advisor? Apparently, this non-diversified closed-end company, which elects to be treated as a business development company (“BDC”), invests in equity-linked debt securities and discounted corporate debt securities of private and public companies, […]