Soreide Law Group is investigating possible investor claims against securities broker Jason Murphy [CRD: 4521914, Oxford, Michigan]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for CCO Investment Services Corp. For example, clients alleged unsuitable recommendations. Here is a brief summary of the […]

Soreide Law Group is investigating possible investor claims against securities broker Philip Marchese [CRD: 5905008, New York, New York]. Notably, FINRA sanctioned the securities broker, who worked for Spartan Capital Securities LLC. Allegedly, Marchese engaged in excessive trading. Here is a brief summary of FINRA’s allegations against Marchese. FINRA Sanctions Spartan Capital Securities LLC Securities […]

Investors have come forward with complaints about securities broker James Bernis Lunsford (also known as Jim Lunsford) [CRD: 2222307, Sonoma, California]. Evidently, the securities broker, who worked for Mid Atlantic Capital Corporation, disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Mid Atlantic Capital Corporation clients allege breach of fiduciary duty, misrepresentation, among […]

Investors have come forward with complaints about securities broker Michael Kane III [CRD: 5099883, Houston, Texas]. Notably, the securities broker, who worked for BBVA Securities Inc. and Hilltop Securities Inc., disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. For more on these disclosures about Kane, see below. Michael Kane Disclosed Unsuitable Recommendations Allegations […]

Soreide Law Group is investigating possible investor claims against securities broker Jack Jones Jr. (also known as J.J. Jones Jr.) [CRD: 2539111, Houston, Texas]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Triad Advisors LLC. For example, clients alleged unsuitable recommendations. Here […]

Soreide Law Group is investigating possible investor claims against securities broker Cindy Hanerhoff (also known as Cindy Leah Hanerhoff Dorbecker and Cindy H. Lara) [CRD: 1084549, Houston, Texas]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Sunbelt Securities Inc. Also, FINRA sanctioned […]

Soreide Law Group is investigating possible investor claims against securities broker Ricardo Guimaraes [CRD: 5442981, St. Louis, Missouri]. 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. Here is a brief summary of the disclosures about Guimaraes. Ricardo Guimaraes […]

Soreide Law Group is investigating possible investor claims against securities broker Matthew Gates (also known as Matt Gates) [CRD: 4727945, 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 Joseph Gunnar Co. LLC. Notably, investors allege unsuitable recommendations. Here […]

Investors have come forward with complaints about securities broker Jeffrey John Furniss [CRD: 4888498, Annapolis, Maryland]. Evidently, the securities broker, who worked for Lincoln Financial Advisors Corporation, disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Lincoln Financial Advisors Corporation clients allege that Furniss made unsuitable recommendations. For more on these disclosures about […]