Investors might have sustained losses due to securities broker Peter Lee Waldron [CRD: 4230510, Irvine, California], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Peter Waldron worked for Wells Fargo Clearing Services LLC and Wells Fargo Advisors beginning March 29, 2022, and previously worked for UBS Financial Services Inc. from October 27, […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Michael Raymond Frager [CRD: 1230622, Winneconne, Wisconsin], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Frager worked for Willow Cove Investment Group Inc. since April 27, 2020, and for Balboa Wealth Partners Inc. since November […]

Investor Dispute, FINRA Sanctions Reported On Record Of Christopher Nelson The Financial Industry Regulatory Authority (FINRA) provides important information in regard to securities broker Christopher Joseph Nelson (CRD#: 6674139, Brandon, South Dakota). Evidently, Nelson worked as a securities broker or financial advisor for Wynston Hill Capital from 2018 to 2019. Here is a brief summary […]

Morgan Stanley Clients Voice Problems With Suitability Of Securities Broker Michael Ralby's Transactions The investment loss recovery team at Soreide Law Group provides updates from time to time on securities brokers who are involved in investor disputes. The firm comes to you with a new update regarding securities broker Michael Bruce Ralby (CRD#: 1301072, Boca […]

Broker Brian Jackson (David Lerner Associates) Faces Investor Disputes The Financial Industry Regulatory Authority (FINRA) reports investor dispute information on BrokerCheck regarding securities broker Brian Michael Jackson (CRD#: 4733834, White Plains, New York). Evidently, Jackson worked for securities firm David Lerner Associates from 2004 to 2018 and became a Wells Fargo securities broker and financial […]

Allstate Securities Broker Ivan Wenzel Involved In Investor Dispute About Annuity The Financial Industry Regulatory Authority (FINRA) contains new information about securities broker Rodolf Ivan Wenzel (“Ivan Wenzel”) (CRD#: 1532033, Redlands, California). Evidently, Wenzel worked for firms Allstate Financial Services (1999 to 2018) and Voya Financial Advisors (2019 to 2020). Specifically, two Allstate investors filed […]

Money Concepts Capital Corp Clients Allege Unsuitable Investments By Securities Broker Craig Sutherland Soreide Law Group is reviewing potential investor claims to be brought against securities broker Craig Alan Sutherland (CRD#: 2001873, Columbus, Ohio). Evidently, Sutherland worked for Money Concepts Capital Corp as a securities broker from May 1994 to May 2021. Notably, 10 investors […]

Benchmark Investments Parts Ways With Broker John Roberts Over Misconduct Allegations The Financial Industry Regulatory Authority (FINRA) reports that Benchmark Investments terminated its arrangement with Roberts (CRD#: 1226665, Stockbridge, Georgia) as a securities broker amid misconduct allegations. It appears that two other firms also parted ways with Roberts, and a client lodged a dispute about […]

SII Investments Clients Allege Unsuitable Transactions By Financial Advisor Robert Fross Soreide Law Group comes to you with important information concerning securities broker Robert C. Fross (CRD#: 4509851, The Villages, Florida). Namely, the securities broker and financial advisor, who worked for SII Investments Inc. (2007 to 2018) and LPL Financial (2018 to present), is involved […]