Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Ruben Javier Frezzotti [CRD: 4439983, Coral Gables, Florida], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Frezzotti's employment at Raymond James Associates Inc., spanning from February 13, 2013, to October 10, 2023, has been marked by […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Michael Raymond Frager [CRD: 1230622, Winneconne, Wisconsin], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Frager worked for Willow Cove Investment Group Inc. since April 27, 2020, and for Balboa Wealth Partners Inc. since November […]

Investors might have sustained losses because of securities broker Michael Scott Barrows [CRD: 2933260, Irvine, California], according to disclosures on FINRA BrokerCheck. Evidently, Barrows joined M Stevens Securities LLC and M Stevens Wealth Advisors LLC, both located in Irvine, CA, on June 9, 2023, and April 4, 2018, respectively. He previously worked for Kingswood Capital […]

Investors might have sustained losses because of securities broker Matthew Kenneth Wilkes [CRD: 5409004, Knoxville, Tennessee], according to disclosures on FINRA BrokerCheck. Evidently, Wilkes worked for TrustFirst in Knoxville, TN, from April 4, 2019, to October 30, 2023, FSIC in Chicago, IL, from June 21, 2017, to September 12, 2018, and Raymond James Financial Services […]

Investors might have sustained losses because of securities broker Luke Michael Johnson [CRD: 3257008, Scottsdale, Arizona]. Johnson worked for Coastal Equities Inc. from April 3, 2012, to December 13, 2019. Below, you'll find information about some investor disputes concerning Johnson. You'll also learn more about a recent FINRA case where the regulator sanctioned him for […]

Investors might have sustained losses because of securities broker John Calderwood Starke Sr. [CRD: 3154774, Mechanicsville, Virginia], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Starke worked for Centaurus Financial Inc. from June 26, 2015, to January 2, 2024. Continue reading to learn more about Starke's disclosures. Centaurus Financial Inc. Investor Accused […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Gary Kendall Liska [CRD: 2512188, Los Angeles, California], given the disclosures on FINRA BrokerCheck. Evidently, Liska joined Signature Estate Investment Advisors LLC on May 12, 1997, and Signature Estate Securities LLC on August 16, 2023. Continue reading to […]

Investors might have sustained losses because of securities broker Douglas Harry Chapman [CRD: 2230482, Clark, New Jersey], according to disclosures on FINRA BrokerCheck. Evidently, Chapman has registrations with LPL Financial LLC since January 11, 2024, and previously worked with Cetera Advisor Networks LLC and Securian Financial Services Inc. Read on to learn more about investor […]

Investors might have sustained losses due to securities broker Austin Richard Dutton Jr. (also known as Austin Duttin) [CRD: 2739167, Doylestown, Pennsylvania], according to disclosures on FINRA BrokerCheck. Evidently, Dutton worked for several securities firms. This includes American Trust Investment Services Inc. from June 15, 2021, to January 7, 2022, in Doylestown, PA, and Primex […]