Investors complained about securities broker Adam Jesse Gurien [CRD: 2302341, Jupiter, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Adam Gurien has worked for Merrill Lynch Pierce Fenner Smith Incorporated since August 19, 2011. Before that, he worked for Wells Fargo Advisors LLC, from May 11, 2001, to August 22, 2011. […]

Investors potentially sustained damages through securities broker Patrick Michael Mendenhall [CRD: 1068809, Houston, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Mendenhall worked for USCA Securities LLC from April 20, 2010, and U.S. Capital Wealth Advisors LLC from June 30, 2021. Here’s an overview of the securities broker’s disclosures. USCA Securities […]

Investors possibly experienced losses because of securities broker Joseph Farrell Beam [CRD: 5407778, Flat Rock, North Carolina], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Joseph Beam worked for Capital Investment Group Inc. from August 20, 2013, to June 5, 2023. Below, you’ll find a summary of the securities broker’s disclosures. Capital […]

Investors might have sustained losses due to securities broker Jeffrey Tyler Shaver [CRD: 2675592, Atlanta, Georgia], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Shaver worked for Arkadios Capital from March 21, 2017, to March 25, 2022. Keep reading to learn more about Shaver’s disclosures. Jeffrey Shaver Disclosed Negligence, Overconcentration Allegations By […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Guy Gregory Clemente [CRD: 1222597, New York, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Clemente worked for several firms, including Andrew Garrett Inc. from February 27, 2007, to January 2, 2024, and Aegis […]

Investors possibly experienced losses because of securities broker David Wayne Karin [CRD: 2486154, Westlake Village, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Karin joined Western International Securities Inc. on March 30, 2012, as a securities broker. He started working as a financial advisor there shortly thereafter. The following information concerns […]

Investors potentially sustained damages through securities broker Borami Yoon (also known as Jennifer Yoon) [CRD: 6864788, Menlo Park, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Borami Yoon joined Morgan Stanley on June 20, 2019. Below, you’ll find a summary of Borami Yoon’s disclosures. Morgan Stanley Investor Accused Yoon Of Misrepresentation […]

Investors possibly experienced losses because of securities broker Yong Seok Chang [CRD: 4440739, Seattle, Washington], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Chang joined Independent Financial Group LLC on October 27, 2008. Keep reading to learn more about Chang’s disclosures. Independent Financial Group LLC Investor Accused Chang Of Unsuitable Recommendations Particularly, […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker William Vito Romeo (also known as Doughboy Romeo) [CRD: 1041846, East Meadow, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Romeo joined RNR Securities LLC on October 13, 1997, and R&R Financial Planners […]