FINRA Charges Broker Jim Flower With Churning, Excessively Trading The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of misconduct by securities broker Jim Flower (CRD#: 2817701, Garden City, New York). Notably, FINRA filed an enforcement action against Flower for alleged sales practice violations including unsuitable recommendations and churning. Not only that, but at least […]

Broker Rocco Roveccio Sanctioned By FINRA, SEC The Financial Industry Regulatory Authority (“FINRA”) just sanctioned First Standard Financial Company securities broker Rocco Roveccio (CRD#: 2713144, Red Bank, New Jersey). The sanctions come after SEC barred the securities broker and after 6 investors filed disputes against him. Namely, these disclosures suggest that Roveccio sold unsuitable investments […]

Accelerated Capital Group's Wayne Miiller Supposedly Responsible For Bad Private Placement Offerings Investor Alert! Five clients of securities broker Wayne Ivan Miiller (CRD#: 4813645, Scottsdale, Arizona) filed disputes about his sales practices, according to Financial industry Regulatory Authority (“FINRA”) BrokerCheck Reports. Notably, these investors’ disputes suggest that Miiller was responsible for private placement offerings that […]

David A. Noyes' Stu Pearl Allegedly Made Unauthorized Margin Transactions The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Stuart “Stu” Pearl (CRD#: 1500833, Indianapolis, Indiana). Namely, no less than 5 clients came forward with disputes about Pearl’s sales practices. Not only that, but FINRA’s suspension and fine against Pearl […]

Chesapeake Energy Corp Filing Chapter 11 Bankruptcy Soreide Law Group is reviewing possible investor actions alleging unsuitability, misrepresentation and other sales practice violations against securities brokers and financial advisors who recommended investments in Chesapeake Energy Corp. Namely, on June 28, 2020, Chesapeake Energy Corp, who is known as a large shale-gas company, filed for Chapter […]

Clients Indicate Broker John Stapleton Sold Unsuitable Investments Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows troubling information regarding securities broker John Joseph Stapleton (CRD#: 2791194, Garden City, New York). Namely, five investors brought lawsuits regarding the broker, who has been a Spartan Capital Securities broker since 2015. These disputes suggest that Stapleton […]

Title goes here Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) shows that four or more investors disputed the sales practices of Darren Kubiak (CRD#: 1239086, Alpharetta, Georgia). Namely, clients indicate that the securities broker, who worked for Kalos Capital, Inc. from 2007 to 2019, acted negligently. Supposedly, Kubiak sold clients unsuitable investments and was […]

Ameritas Clients Indicate Tommy Lawrence Misrepresented Investments Soreide Law Group is investigating potential investor claims of bad business practices by securities broker Thomas “Tommy” H. Lawrence III [CRD#: 1839619, Chapel Hill, Tennessee]. Notably, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck reports that 3 clients contested the securities recommendations or sales of the securities broker, who worked […]

Broker Susan Welo Involved In Investor Disputes Soreide Law Group is looking into potential investor disputes against securities broker Susan Welo [CRD#: 1884407, Mayville, North Dakota]. Apparently, North Dakota Securities Department brought a Cease and Desist action against the securities broker, who worked for Cetera Advisor Networks and Securities America. Not only that, but Welos' […]