Latest Securities Lawyer News

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 […]

Securities Broker Dawn Strachan (Questar Capital Corporation) Involved In Investor Disputes New disclosures have surfaced on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck in regard to securities broker Dawn Alison Strachan (AKA Dawn Alison Osogwin) (CRD#: 4323197, Torrance, California). Specifically, two investors filed disputes about the securities broker. Here’s a quick summary of these disclosures, which […]

FINRA Bars Christopher Orlando For Allegedly Making Unsuitable Trades In Worden Client Accounts The Financial Industry Regulatory Authority (FINRA) shows through BrokerCheck that it barred securities broker Christopher George Orlando (CRD#: 4136262, New York, New York). Evidently, Orlando worked for firms Worden Capital Management (2016 to 2019), St. Bernard Financial Services (2019 to 2020), and […]