The Financial Industry Regulatory Authority (FINRA) reports important information about Damian Mark Baird (CRD: 3097243, Boston, Massachusetts). Not only has FINRA sanctioned Baird, but investors disputed the sales practices of the securities broker. However, Baird denies the allegations. Read on to learn more about the allegations against Baird. FINRA Sanctions Baird For Failure To Comply […]

Soreide Law Group is investigating possible investor claims against securities broker Erkan Eric Afacan (CRD: 2563297, Paramus, New Jersey). Evidently, Cambridge Investment Research Inc. permitted Afacan to resign amid allegations of his misconduct. Here is a brief summary of Cambridge Investment Research Inc.’s and investors’ allegations against Afacan. Cambridge Investment Research Inc. Terminates Afacan For […]

Investors complained about securities broker Edward Chong Yoon (CRD: 2408137, Pasadena, California). Notably, the securities broker, who worked for First Allied Securities Inc., disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Namely, First Allied Securities Inc. clients allege that Yoon made unsuitable recommendations. For more on these disclosures about Yoon, see below. First […]

Soreide Law Group is looking into possible investor claims against securities broker Scott Curtis Wilson (CRD: 861144, New York, New York). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Morgan Stanley. Evidently, investors allege sales practice violations in these disputes, including that […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Francis Joseph Velten Jr. (also known as Frank Velten) (CRD: 2291911, New Port Richey, Florida). Not only has FINRA sanctioned Velten for failing to comply with a FINRA investigation into possible violations of FINRA rules, but investors disputed his sales practices. However, Velten […]

Soreide Law Group is looking into possible investor claims against securities broker Desiderio Eloy Torrez (CRD: 4759218, San Diego, California). Particularly, FINRA sanctioned the securities broker, who worked for PFS Investments Inc. Allegedly, Torrez failed to cooperate with FINRA during its investigation into possible violations of FINRA rules. Here is a brief summary of FINRA’s […]

Soreide Law Group is looking into possible investor claims against securities broker Juan Carlos Sosa (CRD: 4059846, Studio City, California. Evidently, Sagepoint Financial Inc. permitted Sosa to resign amid allegations of his misconduct. Here is a brief summary of Sagepoint Financial Inc.’s allegations against Sosa as well as a summary of Sagepoint investor disputes. Sagepoint […]

Soreide Law Group is investigating possible investor claims against securities broker Mickey Schreiber (also known as M.B. Schreiber) (CRD: 1032600, Red Bank, New Jersey. Specifically, Aegis Capital Corporation permitted Schreiber to resign amid allegations of his misconduct. Not only that, but FINRA sanctioned him and investors complained about him. Here is a brief summary of […]

Soreide Law Group is looking into possible investor claims against securities broker Shawn Oliver (CRD: 2015244, Napa, California). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for UBS Financial Services Inc. Evidently, investors allege sales practice violations in these disputes, including that Oliver […]