The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker David Barnes AKA David Ray Barnes [CRD#: 2181896, Dallas, TX]. Evidently, investors disputed the sales practices of the securities broker, who worked for UBS Financial Services. Additionally, the securities broker discloses a regulatory enforcement action. However, Barnes denies the allegations of sales practice […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Kimberly Barentsen AKA Kimberly Ann Bielema and Kimberly Ann Bietema [CRD#: 2092280, Walnut Creek, CA]. Evidently, investors disputed the sales practices of the securities broker, who worked for First Allied Securities. Additionally, the securities broker discloses a regulatory enforcement action. However, Barentsen denies […]

Soreide Law Group is investigating possible investor claims against securities broker Frank Avallone AKA Frank Louis Avallone [CRD#: 4814368, South Norwalk, CT]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Newbridge Securities Corp. Evidently, investors allege sales practice violations in these disputes, […]

Soreide Law Group is investigating possible investor claims against securities broker John Thomas Holly AKA Tom Holly [CRD#: 1713313, Boca Raton, FL]. Holly has worked for (1) B. Riley Wealth Mgmt. since 2022; (2) B. Riley Wealth Advisors Inc. since 2004; and (3) National Securities Corporation from 2004-2022. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck […]

Soreide Law Group is investigating possible investor claims against securities broker Christian Frank Lucchetto [CRD#: 4648994, Staten Island, NY]. Lucchetto has worked for (1) Arive Capital Markets since 2019; (2) First Standard Financial Company from 2016 to 2019; and (3) Cape Securities Inc. from 2011 to 2016. Evidently, Financial Industry Regulatory Authority (FINRA) sanctioned the […]

Soreide Law Group is investigating possible investor claims against securities broker Fariba Zehtabian Madison [CRD#: 1178259, Los Alamitos, CA]. Zehtabian has worked for (1) Western International Securities from 2012-Present; (2) U.S. Bancorp Investments from 2006-2012; and (3) Citicorp Investment Services from 2005-2006. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that Western International Securities investors […]

Investors have come forward with complaints about securities broker James Patrick Shawver, AKA Jim Shawver [CRD#: 2571148, Boynton Beach, FL]. Shawver worked for (1) Blackridge Asset Management LLC from 2020-Present as a financial advisor; (2) Peak Brokerage Services LLC from 2020-Present as a securities broker; (3) Independent Financial Group from 2013-2020 as a securities broker […]

Soreide Law Group is investigating possible investor claims against securities broker Michael Anthony Fahsholtz [CRD#: 2057306, Wenatchee, WA]. Fahsholtz worked for Stifel Nicolaus & Company Inc. from 2011-2020 and Wells Fargo from 2005-2011. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that Stifel Nicolaus & Company investors disputed Fahsholtz’s sales practices. Evidently, investors allege sales […]

Investors have come forward with complaints about securities broker Rodrigue Lors AKA Rodrique Lors [CRD#: 4379214, Westbury, NY]. Lors worked for (1) Wilmington Capital Securities LLC from 2017-Present and (2) National Securities Corporation from 2007-2017. Evidently, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that one or more National Securities Corporation investors disputed the sales practices […]