Investors complained about securities broker Edmund Murphy (also known as Eddie Murphy) (CRD: 2145807, Naples, Florida). Notably, the securities broker, who worked for Robert W. Baird Co. Incorporated, disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Namely, Robert W. Baird Co. Incorporated clients allege that Murphy made unsuitable recommendations. For more on these […]

Soreide Law Group is looking into possible investor claims against securities broker Ronald Lewis Millar III (CRD: 3064161, Weston, Florida). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for MML Investors Services LLC. Evidently, investors allege sales practice violations in these disputes, including […]

Investors have voiced complaints about securities broker Brian Charles Kennedy (CRD: 2321416, Camp Hill, Pennsylvania). Notably, the securities broker, who worked for Lincoln Financial Advisors Corporation, disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Namely, Lincoln Financial Advisors Corporation clients allege that Kennedy made unsuitable recommendations. For more on these disclosures about Kennedy, […]

Soreide Law Group is looking into possible investor claims against securities broker Douglas Kaiser (also known as Doug Kaiser) (CRD: 1674570, Boca Raton, Florida). Particularly, FINRA sanctioned the securities broker, who worked for Westpark Capital Inc. Allegedly, Kaiser failed to supervise markdowns and markups at Westpark Capital Inc. Here is a brief summary of FINRA’s […]

Soreide Law Group is looking into possible investor claims against securities broker David William Jack (CRD: 2415526, Paramus, New Jersey). 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 Jack […]

FINRA reports important information about securities broker Kevin Andrew Hobbs (CRD: 4267482, Lake Worth, Florida). Not only has FINRA sanctioned Hobbs for inaccurate information during a FINRA investigation, but investors disputed the sales practices of the securities broker. Here’s more about the FINRA regulatory action and investor disputes on Hobbs’ record. Hobbs Sanctioned By FINRA […]

Investors complained about securities broker Peter Lewis Goffin (CRD: 1617710, Boca Raton, Florida). Notably, the securities broker, who worked for Newbridge Securities Corporation, disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Namely, Newbridge Securities Corporation clients allege that Goffin breached a contract and fiduciary duty and provided unsuitable advice. For more on these […]

Soreide Law Group is looking into possible investor claims against securities broker Jake Louis Fruge (CRD: 6187396, Houston, Texas). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for PFS Investments Inc. Evidently, investors allege sales practice violations in these disputes, including that Fruge […]

Soreide Law Group has learned of possible investor claims against securities broker Luis Manuel Espinoza (CRD: 4474528, Riverside, California). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for First Financial Equity Corporation. Evidently, investors allege sales practice violations in these disputes, including that […]