Broker William Herf Possibly Gave Bad Advice, Failed To Follow Instructions The investment loss recovery attorneys at Soreide Law Group provide you an update regarding troubled securities broker William Reilley Herf (CRD#: 2978220, Scottsdale, Arizona). Apparently, no less than three of Herf’s clients complained about his sales practices according to the broker’s Financial Industry Regulatory […]

FINRA Issues Sanction To Brian Engstrom For Unsuitable UIT Trades The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to Oppenheimer securities broker Brian Engstrom (CRD#: 1838926, Pensacola, Florida). Not only has the financial industry watchdog sanctioned Engstrom via a three month suspension and $5,000 fine, but Oppenheimer disaffiliated with him following allegations […]

Wedbush Clients Indicate That Financial Advisor Mark Heiden Breached Fiduciary Duty Investors continue to come forward with disputes about securities broker W. “Mark” Heiden (CRD#: 2885156, Newport Beach, California). Namely, the financial advisor, who worked for firms including Wedbush Securities and Morgan Stanley, reports a whopping 18 investor disputes on FINRA BrokerCheck. Evidently, the majority […]

Did Scott Palmer Give You Bad Advice? Soreide Law Group is investigating potential investor claims against Janney Montgomery Scott general securities representative Scott Palmer (CRD#: 817586, Hackensack, New Jersey). Specifically, the broker, who worked for Janney Montgomery Scott LLC from March 2, 2007 to June 13, 2017, discloses 15 disputes, 10 of which settled through […]

Soreide Law Group (888-760-6552) obtained the following from FINRA’s website under, “Disciplinary and Other FINRA Actions, January 2017.” John Billy Kakonikos (CRD #4017356, Flushing, New York) was assessed a deferred fine of $10,000, suspended by FINRA for 18 months, and ordered to pay deferred restitution in the amount of $72,524.53, plus interest, to a client […]