Soreide Law Group is investigating possible investor claims against securities broker Mark Beloyan (also known as Mark Bedros Beloyan) [CRD: 1392748, Davie, FL]. Evidently, FINRA filed an enforcement or civil action against the securities broker, who worked for Tradespot Markets Inc. Allegedly, Beloyan engaged in unregistered securities transactions. Moreover, an investor complained about him. Here […]

Soreide Law Group is investigating possible investor claims against securities broker Joseph Giordano (also known as Joseph M. Giordano) [CRD: 2278341, Melville, NY]. Mainly, FINRA sanctioned the securities broker, who worked for Aegis Capital Corp. Allegedly, Giordano failed to supervise registered representatives. Here is a brief summary of FINRA’s allegations against Joseph Giordano. FINRA Sanctions […]

Soreide Law Group is investigating possible investor claims against securities broker James Kelly (also known as James E. Kelly) [CRD: 2959343, Owings Mills, MD]. Notably, FINRA sanctioned the securities broker, who worked for Pruco Securities LLC. Here is a brief summary of FINRA’s allegations against James Kelly. FINRA Sanctions Kelly Evidently, on November 22, 2021, […]

Soreide Law Group is investigating possible investor claims against securities broker Jim Kent (also known as James Daniel Kent Jr.) [CRD: 2255753, Pinellas Park, FL]. Mainly, FINRA sanctioned the securities broker, who worked for Emerson Equity LLC. Allegedly, Kent failed to make regulatory disclosures. Also, investors filed disputes about the securities broker. Here is a […]

Soreide Law Group is investigating possible investor claims against securities broker Ian Lowrey (also known as Ian Phillip Lowrey) [CRD: 6367392, New York, NY]. Notably, FINRA punished the securities broker, who worked for Spartan Capital Securities LLC. Supposedly, Lowrey engaged in excessive trading. Here is a brief summary of FINRA’s allegations against Lowrey. Ian Lowrey […]

Soreide Law Group is investigating possible investor claims against securities broker Gregg Ferguson (also known as Howell Gregory Ferguson) [CRD: 4400990, Bellville, TX]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosed that investors complained about the securities broker, who worked for LPL Financial LLC. Notably, investors allege sales practice violations in these disputes, including that […]

Soreide Law Group is investigating possible investor claims against securities broker Rett Ellis (also known as Everett Bryant Ellis) [CRD: 4046494, Gulf Breeze, FL]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosed that investors complained about the securities broker, who worked for BBVA Securities Inc. Here is a brief summary of the disclosures about Rett […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Don Ingram (also known as Donnie Eugene Ingram) [CRD: 1416971, Winter Haven, FL]. Not only has FINRA filed an enforcement action against Ingram, but investors disputed Ingram’s sales practices. However, Ingram denies the allegations of sales practice violations. Read on to learn more […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Brent Greninger (also known as Brent Jason Greninger) [CRD: 5810070, Weston, FL]. Not only has Raymond James Associates Inc. disaffiliated with the securities broker for allegedly selling away, but investors complained about the securities broker. However, Greninger denies the allegations. Read on to […]