Investors might have sustained losses due to securities broker Thomas Christophe Prentice [CRD: 874774, Rancho Mirage, California], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Thomas Prentice has been registered with RBC Capital Markets LLC since January 6, 2016. Keep reading to find out more about Thomas Prentice’s disclosures. RBC Capital […]

Soreide Law Group is investigating potential investor claims involving sales practice violations by securities brokers and financial advisors concerning Inspired Senior Living of Mequon DST. Specifically, Inspired Senior Living of Mequon DST is a Delaware Statutory Trust (DST) real estate offering structured to sell beneficial interests to investors, often in connection with 1031 exchanges. There […]

Investors potentially experienced sales practice violations by securities broker Roy Alvin Williams Sr. [CRD: 1069297, Stratford, Connecticut], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Roy Williams worked for Center Street Securities Inc. from October 27, 2016, to August 7, 2023, and Center Street Advisors Inc. from March 6, 2017, to […]

Soreide Law Group is investigating potential investor claims involving sales practice violations by securities brokers and financial advisors in regard to Inspired Senior Living of Lake Orion DST. Evidently, Inspired Senior Living of Lake Orion DST is a Delaware Statutory Trust real estate offering sponsored by Inspired Healthcare Capital that was marketed to investors, including […]

Investors might have sustained losses due to securities broker Richard Stephen Pluta [CRD: 1232948, Greenwich, Connecticut], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Pluta has been registered with Merrill Lynch since January 26, 1984, and has been registered as a financial advisor with the same firm since October 22, 1990. See the […]

Investors apparently complained about securities broker James Randall Pringle (also known as JR Pringle) [CRD: 1277121, Indian Harbour Beach, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Pringle worked for Wells Fargo Clearing Services LLC from June 22, 2005, to January 13, 2026. Investors should review the information below to learn more […]

Investors potentially incurred losses because of securities broker Matthew Joseph Augugliaro [CRD: 2494865, Huntington, New York], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Augugliaro has worked for Allstate Financial Services LLC starting on September 10, 2014. See the following information to learn more about Augugliaro’s disclosures. Allstate Investor Accused Augugliaro […]

Investors potentially incurred losses because of securities broker Victor M. Torres (also known as Victor Torres-Hernandez) [CRD: 5919902, Fort Lauderdale, Florida], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Torres has been registered with Equitable Advisors LLC since October 23, 2018. Keep reading to find out more about Torres’s disclosures. Equitable […]

Investors potentially experienced sales practice violations by securities broker Kevin John Canfield [CRD: 2286759, Moosic, Pennsylvania], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Canfield has been registered with MML Investors Services LLC from March 25, 2017, to the present. Investors are encouraged to continue reading to discover more about Canfield’s […]