UBS Clients Indicate That Peace Murans Made Unsuitable, Unauthorized Trades Investor Alert! Financial Industry Regulatory Authority ("FINRA") BrokerCheck shows troubling information in regard to former UBS Financial Services securities broker Paul “Peace” William Murans [CRD#: 3266607, Indianapolis, Indiana]. Apparently, at least four clients took issue with the securities broker.  Notably, three of those clients filed […]

IFG, Berthel Clients File Disputes About Shawn Davis' Alternative Investment Sales Soreide Law Group is looking into potential investor disputes against securities broker Shawn Bruce Davis [CRD#: 2911230, Auburn, California]. Notably, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that at least 10 clients took issue with the broker, who worked for Independent Financial Group, Berthel […]

Kentucky Regulator Sanctions Robert Clarke Investor Alert! The Financial Industry Regulatory Authority ("FINRA") reports alarming information in regard to securities broker Robert Steven Clarke [CRD#: 735940, Austin, Texas]. Not only has Kentucky Department of Financial Institutions sanctioned him for unauthorized trading, but 5 or more investors raised serious concerns about the securities broker, who joined […]

Centaurus Broker Cindy Chiellini Allegedly Causes Investor Losses On Bad Real Estate Securities Transactions Soreide Law Group is reviewing potential investor disputes against Centaurus Financial securities broker Cindy Porto Chiellini [CRD#: 1015592, Lexington, South Carolina]. Notably, Colorado Division of Securities filed an enforcement action against Chiellini for her allegedly unsuitable and dishonest sales practices. Also, […]

Principal Securities Broker John Priebe Involved In Investors' Suitability Disputes Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming information in regard to John Patrick Priebe Jr. [CRD#: 4389063, Waseca, Minnesota]. Not only has Principal Securities disaffiliated with the securities broker for potential sales practice violations, but at least three clients indicated that Priebe […]

Raymond James Broker John Howard Allegedly Sold Bad REITs Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) indicates through BrokerCheck that investors filed disputes about John Troy Howard (CRD#: 2264121, Birmingham, Alabama). The securities broker, who joined Raymond James & Associates, Inc. on February 13, 2013, allegedly breached a fiduciary duty to his clients and […]

Wayne Hummer Clients Allege Structured CDs Misrepresented By Broker Jeannette Adcock Evidently, investors are voicing complaints and serious concerns in regard to securities broker Jeannette Adcock [CRD#: 1432053, Bloomingdale, Illinois]. It appears that the securities broker, who worked for Wayne Hummer Investments between September 20, 2004 and April 21, 2017, is involved in 10 investor […]

Santander Clients Take Issue With Eric Stubbe's Investment Recommendations Soreide Law Group is investigating potential investor claims of bad securities business practices by securities broker Eric Stubbe [CRD #: 1499212, Dorchester, Massachusetts]. Notably, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck reports that no less than 19 clients contested the securities recommendations or sales of the securities […]

Investors Allege Losses Due To Shapour Ejlal's Unauthorized Transactions Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming information in regard to securities broker Shapour Ejlal [CRD#: 1247346, New York, New York]. Supposedly, at least 3 clients raised serious concerns about the securities broker, who worked for Aegis Capital Corp. between August 14, 2014 […]