Investors possibly experienced losses because of securities broker Jeffry Neal Carel (also known as Jeff Carel) [CRD: 4935789, Edmond, Oklahoma], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Jeffry Carel worked for JP Morgan Securities LLC from October 1, 2012, to October 25, 2023, before his current employment with Wells Fargo Clearing […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker James Roy Paige [CRD: 1726609, Vero Beach, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, James Paige joined Wells Fargo Clearing Services LLC and Wells Fargo Advisors on October 31, 2008. Here’s an overview […]

Investors possibly experienced losses because of securities broker Herbert C. White [CRD: 3125223, Greenwood Village, Colorado], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Herbert White worked for Woodbury Financial Services Inc. as a securities broker from April 4, 2003, to January 19, 2024. Woodbury Financial Services Inc. Investor Accused White Of […]

Investors potentially sustained damages through securities broker Christopher Joseph McCoy [CRD: 4113108, Montclair, New Jersey], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Not only that, but FINRA sanctioned him for unauthorized trading. Evidently, Christopher McCoy worked for Calton Associates Inc. from August 31, 2012, to December 20, 2022. Below, you’ll find a […]

Investors possibly experienced losses because of securities broker Brian Lee Freeman [CRD: 1379227, Newport Beach, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Brian Freeman worked for Securian Financial Services Inc. from June 23, 1988, to August 10, 2023. Here’s an overview of Brian Freeman’s disclosures. Securian Financial Services Inc. Investor […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker JR Richard Allen Ceffalio Jr. (also known as Rich Ceffalio) [CRD: 2619565, Arlington Heights, Illinois], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Richard Ceffalio worked for LPL Financial LLC from November 15, 2019, to […]

Investors possibly experienced losses because of securities broker William David Isaacson [CRD: 2418034, Boynton Beach, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, William Isaacson worked for Peak Brokerage Services LLC from September 11, 2020, to December 31, 2023, and Independent Financial Group LLC from May 29, 2013, to September 11, […]

Investors might have sustained losses due to securities broker Todd Ray Anderson [CRD: 1896352, Tucson, Arizona], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Todd Anderson worked for Benchmark Investments LLC from September 17, 2019, to May 15, 2023, and Cetera Advisors LLC from March 21, 2014, to October 4, 2019. Keep […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Thomas Joseph Livaccari [CRD: 2376606, New York, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Thomas Livaccari joined UBS Financial Services Inc. on January 22, 2009. Here’s more about the securities broker’s disclosures. […]