Investors have come forward with complaints about securities broker Melissa Laura Cournyer (also known as Melissa Laura Ferguson) [CRD: 6244893, Chicago, Illinois]. Notably, the securities broker, who worked for Bankers Life Securities Inc., disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Bankers Life Securities Inc. clients allege that Cournyer made unsuitable recommendations. […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Janie Garza-Clark (also known as Janie Clark and Janie Garza) [CRD: 1010752, Scottsdale, Arizona]. Not only has FINRA sanctioned Clark for her failure to testify in an investigation, but investors disputed the sales practices of the securities broker. However, Clark denies the allegations. […]

Investors have come forward with complaints about securities broker Wenjinn Chang [CRD: 4536266, Rockville, Maryland]. Notably, the securities broker, who worked for Independent Financial Group LLC, disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Independent Financial Group LLC clients allege that Chang made unsuitable recommendations and overconcentrated accounts. For more on these […]

Soreide Law Group is investigating possible investor claims against securities broker Roy Budd [CRD: 34635, Little Falls, 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 Smith Barney. For example, clients alleged unsuitable recommendations. Here is a brief summary […]

Soreide Law Group is investigating possible investor claims against securities broker Sanjay Bhargava [CRD: 4495397, La Vista, Nebraska]. Notably, Maryland sanctioned the securities broker, who worked for Regulus Financial Group LLC. Here is a brief summary of Maryland’s allegations against Bhargava. Maryland Sanctions Regulus Financial Group LLC Securities Broker For Prior Regulatory Enforcement Action Particularly, […]

Investors have come forward with complaints about securities broker Shirley Wong AKA Shirley Ank Wong [CRD#: 4869184, Daly City, CA]. Evidently, the securities broker, who worked for Ni Advisors, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Ni Advisors clients allege that Wong made misrepresentations, breached a contract, failed to supervise, and […]

Investors have come forward with complaints about securities broker Elliot Sherer AKA Elliot Hough Sherer [CRD#: 15007, Melville, NY]. Evidently, the securities broker, who worked for Aegis Capital Corp., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Aegis Capital Corp. clients allege that Sherer breached a fiduciary duty, was negligent, made misrepresentations, […]

Soreide Law Group is investigating possible investor claims against securities broker Jason Seurer AKA Jason Edward Seurer [CRD#: 2541616, Maple Plain, MN]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Landolt Securities. Notably, investors allege sales practice violations in these disputes, including […]

Soreide Law Group is investigating possible investor claims against securities broker Anthony Pitta AKA Anthony John Pitta [CRD#: 1958029, Melville, NY]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Capital Investment Group. Notably, investors allege sales practice violations in these disputes, including […]