Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Barbara Jean Borowsky (also known as Baraba Jean Borowsky) [CRD: 2570936, Rome, Georgia], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Borowsky joined Dempsey Lord Smith LLC on October 15, 2016. Read below for additional […]

FINRA sanctioned securities broker Arthur Bruce McQuaide [CRD: 4581876, Garden City, New York], and an investor complained about him, according to Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Arthur McQuaide worked for Spartan Capital Securities LLC from January 26, 2016, to December 22, 2022. Keep reading to learn more about the securities broker’s disclosures. McQuaide […]

Investors might have sustained losses due to securities broker Jack W. Yvars [CRD: 6377111, Concord, New Hampshire], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Yvars has been registered with Osaic Wealth Inc. since November 2, 2018. This follows his previous registration with Signator Investors Inc., which lasted from June 22, 2016, […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Stuart Bryan Haw [CRD: 2905167, Bradenton, Florida], based on the disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Here’s more about the investor disputes involving Stuart Haw. Cetera Advisors LLC Investor Accused Haw Of Unsuitable Investment Recommendations […]

Investors might have sustained losses due to securities broker Robert Lloyd Omohundro [CRD: 2415942, Atlanta, Georgia], based on the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Omohundro has been registered with Alexander Capital L.P. in Atlanta, Georgia since May 1, 2020, and with Alexander Capital Wealth Management LLC at the same location since […]

Investors might have sustained losses due to securities broker Norman Ray Harp [CRD: 2480563, Leawood, Kansas], based on the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Norman Harp worked for Moloney Securities Co. Inc. from July 21, 2008, to December 12, 2017, and is currently registered with B.B. Graham Company Inc. since December […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Michael John Mashak Jr. [CRD: 4031888, La Crosse, Wisconsin], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Michael Mashak has been registered with Equitable Advisors LLC since November 24, 1999. Continue reading to learn more […]

Investors might have sustained losses due to securities broker John Douglas Engler Sr. [CRD: 835827, Martinez, Georgia], based on the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, John Engler worked for Ameriprise Financial Services LLC from October 24, 2014, to June 7, 2023. Continue reading to learn more about the disclosures involving Engler. […]

Investors might have sustained losses due to securities broker Glennon James Cole (also known as Glen Cole) [CRD: 1999588, Manchester, Missouri], based on the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Cole was employed by Moloney Securities Co. Inc. from September 14, 2012, to February 8, 2021. Continue reading to learn more about […]