Soreide Law Group is investigating possible investor claims against securities broker David Michael Murray [CRD#: 1870050, New York, New York]. Specifically, FINRA BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Laidlaw Company (UK) Ltd. and HD Brous Co. Evidently, one or more clients allege sales practice violations in […]

Investors have come forward with complaints about securities broker Matthew Stern Buchsbaum [CRD#: 2220565, New York, New York]. Evidently, the securities broker, who worked for UBS Financial Services, discloses investor disputes on FINRA BrokerCheck. Evidently, UBS Financial Services clients allege misrepresentations and unsuitable recommendations. For more on these disclosures about Buchsbaum, see below. However, please […]

Soreide Law Group is investigating possible investor claims against securities broker Alexander Steven Batt [CRD#: 2967019, Vero Beach, Florida]. Specifically, FINRA BrokerCheck discloses that investors disputed the sales practices of the securities broker. Evidently, he worked for Merrill Lynch Pierce Fenner Smith Incorporated. Supposedly, one or more clients allege sales practice violations in these disputes. […]

Investors have come forward with complaints about securities broker Stephen Paul Courtney [CRD#: 1141394, Pasadena, California]. Evidently, the securities broker, who worked for Stifel Nicolaus Co., discloses investor disputes on FINRA BrokerCheck. Notably, one or more clients allege omissions, misrepresentations, unsuitable transactions, and negligence. For more on these disclosures about Courtney, see below. However, please […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Jody Bryant Bowers (CRD#: 4798818, Abilene, Texas). Namely, two clients disputed the sales practices of the securities broker, who worked for Sagepoint Financial Inc. from 2012 to 2014 and Lowell & Company Inc. from April 2014 to June 2018. Here’s more on the […]

The Financial Industry Regulatory Authority (FINRA) BrokerCheck report on Lisa Ann Brumm, aka Lisa Ann Moon (CRD#: 2834764, Portland, Oregon), contains two investor disputes and a regulatory action. Supposedly, the investor disputes from 2017-2019 concern Brumm's registrations at AXA Advisors, who is now known as Equitable Advisors. The regulatory action, which FINRA brought in 2021, […]

Soreide Law Group is investigating potential investor disputes pertaining to securities broker Vincent Leonard Petrangelo (CRD#: 2866580, Springfield, Massachusetts). Evidently, Petrangelo worked for securities firms NYLife Securities, Morgan Stanley, Raymond James & Associates (2006 to 2018 as both financial advisor and securities broker), and Ameriprise Financial Services (2018 to present). Notably, six investors disputed Petrangelo's […]

The Financial Industry Regulatory Authority (FINRA) contains important investment information concerning securities broker Jeffrey Lewis Eglow (CRD#: 1299960, Boca Raton, Florida). It appears that Eglow worked for securities firms Wells Fargo Advisors (2012 to 2015 as a broker and financial advisor), SunTrust Investment Services (2015 to 2017 as a broker and financial advisor), Newbridge Securities […]

Soreide Law Group shares important information below concerning securities broker Xiangyu Yu Zhang, who is also known as Sean Zhang (CRD#: 5050282, Alhambra, California). Namely, Financial Industry Regulatory Authority (FINRA) BrokerCheck shows that Zhang has 14 disclosures, and 10 of them concern investment disputes relating to suitability. In addition, FINRA sanctioned Zhang twice, including barring […]