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August 7, 2024
Thomas Ley Involved In Wells Fargo Investor Complaint

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Thomas Gerard Ley [CRD: 1127048, Toms River, New Jersey], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Thomas Ley joined Wells Fargo Clearing Services LLC and Wells Fargo Advisors on May 24, 2012. Below, you’ll […]

August 2, 2024
Peter Reinecke Involved In Saxony Securities Clients’ Suitability Complaints

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Peter Frederick Reinecke [CRD: 2085940, Saint Louis, Missouri], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Peter Reinecke worked for Saxony Securities Inc. from September 10, 2012, to December 31, 2022. The following information concerns […]

August 1, 2024
Neil Lerner Involved In Morgan Stanley Investor Complaints

Investors might have sustained losses due to securities broker Neil Jeffrey [CRD: 836146, New York, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Neil Lerner worked for Morgan Stanley from October 19, 2018, to February 13, 2024. Here’s an overview of Neil Lerner’s disclosures. Morgan Stanley Investor Accused Lerner Of […]

July 29, 2024
John Wolf Involved In Cornerstone Financial Planning Investor Disputes

Investors potentially sustained damages through securities broker John William Wolf [CRD: 1846080, Appleton, Wisconsin], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, John Wolf worked for Purshe Kaplan Sterling Investments from November 20, 2009, to January 29, 2016. Below, you’ll find a summary of John Wolf’s disclosures. Cornerstone Financial Planning Investor Accused […]

May 7, 2024
James Schwarz Facing UBS Investor Disputes

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker James Arthur Schwarz [CRD: 416535, Short Hills, New Jersey], as indicated by multiple disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck.  Evidently, Schwarz joined UBS Financial Services Inc. on January 10, 2013, as a financial advisor and securities […]

January 31, 2024
Jeremiah Roman In PFS Investor Disputes

FINRA BrokerCheck shows that PFS Investments Inc. clients disputed the sales practices of Jeremiah Roman [CRD: 6321876, Coral Springs, Florida]. Evidently, Roman worked for PFS Investments Inc. from June 27, 2014, to October 27, 2021. Below, investors can find more information about the disclosures concerning Jeremiah Roman's conduct. PFS Investments Inc. Client Alleged Breach Of […]

January 31, 2024
Lilia Nia Discloses Regulatory Sanctions And Investor Disputes

Securities broker Lilia Nia [CRD: 6018019, Fairfield, New Jersey], who worked for Purshe Kaplan Sterling Investments from 2013 to 2021, discloses regulatory sanctions and investor disputes on FINRA BrokerCheck. Read on to learn more about these disclosures. Suspension Imposed By New Jersey Bureau Of Securities On January 15, 2023, the New Jersey Bureau of Securities […]

January 19, 2024
Eric Kleiner Involved In Morgan Stanley Investor Dispute

FINRA BrokerCheck shows that investors have potentially suffered losses due to Eric Brian Kleiner [CRD#: 4135180, New York, NY]. Since September 9, 2016, Kleiner has been affiliated with Morgan Stanley. However, his professional history also includes positions at Wells Fargo Advisors LLC and Wachovia Securities LLC. This article highlights some of the investor disputes disclosed […]

December 30, 2023
Investigation Into Shane DeSherlia's Trading At Moloney Securities

Investors have filed disputes regarding securities broker and financial advisor, Shane DeSherlia (CRD#: 6800960, Jerseyville, Illinois]. DeSherlia works with Moloney Securities Co. Inc., located in Jerseyville, Illinois, since May 24, 2017, and with Moloney Securities Asset Management LLC at the same location since November 7, 2019. Recently, multiple investors raised concerns regarding DeSherlia's practices, specifically […]

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