Investors might have sustained losses due to securities broker Todd Mathew Bruns [CRD: 2717729, Folsom, California], according to disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Bruns has been registered with Edward Jones since October 17, 2003. Continue reading to learn more about the disputes involving Bruns. Edward Jones Client Accused Bruns Of […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Richard W. Brown [CRD: 1595628, Fort Myers, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Brown worked for Summit Brokerage Services from May 2, 2003, to September 20, 2019. Continue reading to learn more […]

Investors might have sustained losses due to Lina Maria Garcia [CRD: 4447599, Miami, Florida], and SEC took legal action against the securities broker, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Garcia worked for Insigneo Securities LLC from April 21, 2010, to September 9, 2021. Keep reading to learn more about Garcia’s disclosures […]

Investors might have sustained losses due to Lawrence Richard Brockman [CRD: 1126810, Poland, Ohio], and FINRA sanctioned the securities broker, based on the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Brockman worked for Moors Cabot Inc. from January 29, 2016, to October 11, 2022. Continue reading to learn more about Brockman's client disputes […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Keith M. D’Agostino [CRD: 2837860, Woodbury, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, D’Agostino worked for Aegis Capital Corp. from October 3, 2014, to November 29, 2023, before his current registration with […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Jack Robert Thacker Jr. [CRD: 2754773, Bristol, Virginia], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Thacker worked for Center Street Securities Inc. from December 3, 2007, to October 10, 2023. Continue reading to learn […]

Evidently, FINRA issued an Acceptance, Waiver Consent (AWC) on April 25, 2019, sanctioning Harry Buckman for supervisory failures. Notably, FINRA found that Buckman failed to adequately oversee two former registered representatives at his firm, resulting in unsuitable and excessive trading in multiple investors' accounts. Because of this, Buckman faced civil fine of $20,000, a suspension […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Walter Paul Shoczolek III [CRD: 4488009, Cornelius, North Carolina], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Shoczolek worked for Avantax Investment Services Inc. from January 28, 2015, to October 2, 2023. Keep reading to […]

Investors might have sustained losses because of securities broker John Stephen Pronovost [CRD: 1990612, Watertown, Connecticut], according to disclosures on FINRA BrokerCheck. Pronovost joined Osaic Institutions Inc. in Watertown, CT, both as an investment adviser and broker on February 26, 2021. Before this, he worked for Cambridge Investment Research Inc., and Cambridge Investment Research Advisors […]