Some investors have potentially experienced damages because of securities broker Michael Harvey Hamilton [CRD: 2263524, Leawood, Kansas], according to investor dispute disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Hamilton has worked for UBS Financial Services Inc. since April 25, 2008. Continue reading to learn more about Hamilton's disclosures. UBS Financial Services Inc. […]

Soreide Law Group is reviewing potential investor claims on behalf of individuals who incurred losses from securities broker Melissa Plotkin Spickler (also known as Melissa P. Plotkin, Melissa P. Plotkins, and Melissa Plotkinspickler) [CRD: 719397, Bloomfield Hills, Michigan]. Notably, Spickler has worked for Merrill Lynch Pierce Fenner Smith Incorporated as both a broker and a […]

FINRA issued sanctions to Malay Kumar [CRD: 2482909, Mason, Ohio], according to a regulatory action the regulator brought late last year. Notably, Kumar worked as a financial advisor and broker, with his last employment at Cambridge Investment Research Inc. in Mason, Ohio, from January 10, 2018, to December 21, 2021. Here’s more on FINRA’s sanctions […]

Investors might have sustained losses due to John Lawrence Abrams (also known as Jack Abrams) [CRD: 2795856, Boca Raton, Florida], according to disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Abrams was previously registered as a financial advisor and securities broker, with employment at Equitable Advisors LLC in Boca Raton, FL from November […]

Investors may have incurred losses due to the actions of securities broker Eduardo Andrew Martinez (also known as Andrew Martins and Andrew E. Martin) [CRD#: 5950799, Stamford, Connecticut], according to disclosures of regulatory sanctions and investor disputes on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Martinez joined Merrill Lynch Pierce Fenner Smith Incorporated on October […]

Investors might have faced financial losses due to securities broker Donald DePiro [CRD: 3095140, Melville, New York], as indicated by disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. DePiro joined UBS Financial Services Inc. in Melville, NY, on February 18, 2021. Prior to this, he worked for Merrill Lynch Pierce Fenner Smith Incorporated in Riviera […]

Investors may have faced losses due to Clifton Brent Smith [CRD: 2658251, Atlanta, Georgia], based on disclosures found on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Smith, a financial advisor and securities broker regulated by FINRA, joined Raymond James Associates Inc. in Atlanta, Georgia, on November 7, 2023. Prior to this, his career included stints […]

Investors may have encountered financial setbacks due to the actions of Tory Duggins [CRD: 4556340, New York, New York], based on disclosures found on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Duggins was previously registered with Spartan Capital Securities LLC in New York, NY, from February 29, 2016, to January 31, 2024. Read on […]

Soreide Law Group is looking into possible investor claims on behalf of those who incurred losses through Jesus Rodriguez [CRD: 4888685, El Paso, Texas]. Rodriguez was previously registered as both a financial adviser and a securities broker, with past affiliations including Morgan Stanley in El Paso, Texas, where he was registered from June 1, 2009, […]