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August 31, 2020
Steven Luftschein (Steven Lerner) Losses?

FINRA Contends That Broker Steven Luftschein Made Excessive Trades Causing Investor Losses Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) brought a regulatory action against Steven R. Luftschein (CRD#: 2690117, Huntington, New York) – also known by the name Steven Lerner. Specifically, in May 2020, the watchdog accused the securities broker of both violating fraud […]

July 6, 2020
Chris Fernan Allegedly Made Unsuitable Trades

Salomon Whitney Broker Chris Fernan Allegedly Breached Fiduciary Duty, Sold Unsuitable Investments Investor Alert! The Financial industry Regulatory Authority (“FINRA”) reports alarming information about securities broker Chris Anthony Fernan (CRD#: 5896584, Melville, New York). Apparently, a large number of clients filed disputes about the securities broker, who worked for Salomon Whitney Financial (“SW Financial”) from […]

June 22, 2020
David Kraft Involved In Customer Disputes

Morgan Stanley Customers Dispute Broker David Kraft's Sales Practices Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) discloses troubling updates regarding securities broker David Kraft (CRD#: 2356400, Palm Beach Gardens, Florida). Evidently, at least five investors filed disputes regarding the sales practices of the securities broker, who worked for Morgan Stanley between 2012 and 2019. […]

May 7, 2020
FINRA Suspends RICHARD BROWN

Broker Richard Brown Purportedly Suspended For Failure To Pay Arbitration Award Soreide Law Group is reviewing possible investor claims against broker Richard Lyndon Brown [CRD#: 3245291, Farmingdale, New York], who worked for securities firms Arive Capital Markets, Chelsea Financial Services and Brookstone Securities. Notably, Securities and Exchange Commission (“SEC”) and Financial Industry Regulatory Authority (“FINRA”) […]

April 14, 2020
Jon Lake Cause Your Investment Losses?

Broker Jon Lake Suspended By FINRA, Terminated By Wells Fargo Soreide Law Group is reviewing possible investor claims against securities broker Jonathan R. Lake [CRD#: 1385504, Westport, Connecticut]. Apparently, FINRA suspended the securities broker from November 11, 2019 to March 11, 2020. Not only that, but Wells Fargo Clearing Services terminated him and his clients […]

January 22, 2020
Jeffrey Davis Allegedly Gave Bad Advice

Kovack Investor Suggests Broker Jeffrey Davis Gave Bad Advice Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming allegations of improprieties by securities broker Jeffrey Davis [CRD#: 2501354, Bristol, Connecticut]. Notably, no less than 10 clients contested the securities recommendations or sales of the securities broker, who joined Kovack Securities on November 1, 2013. […]

January 20, 2020
ZACHARY FEINSILVER Losses?

Zachary Feinsilver Allegedly Sold Bad Investments Evidently, investors are voicing complaints and serious concerns in regard to securities broker Zachary Feinsilver [CRD#: 5023830, North Miami Beach, Florida]. Supposedly, the securities broker, who joined FMSbonds on December 8, 2005, shows 5 investor disputes on FINRA BrokerCheck. Notably, FMSbonds clients indicate that Feinsilver recommended unsuitable and misrepresented […]

January 18, 2020
DAVID GEAKE Investor Disputes

Ausdal and Madison Avenue Clients Take Aim At Broker David Geake Soreide Law Group is investigating potential investor claims of bad business practices by securities broker David Geake [CRD#: 3088891, Northbrook, Illinois]. Notably, Financial Industry Regulatory Authority (FINRA) BrokerCheck reports that no less than 6 clients contested the securities recommendations or sales of the securities […]

January 2, 2020
JACQUIN FINK Possibly Gave Bad Advice

Merrill Lynch Clients Take Aim At Broker Jacquin Fink Over Allegedly Unsuitable Trading Investor Alert! FINRA BrokerCheck shows that investors continue to dispute the sales practices of Merrill Lynch broker Jacquin Fink (CRD#: 207807, New York, New York). Apparently, no less than 10 Merrill Lynch clients disputed Fink’s sales practices, and all of those claims […]

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