Investors may have faced losses due to Clifton Brent Smith [CRD: 2658251, Atlanta, Georgia], based on disclosures found on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Smith, a financial advisor and securities broker regulated by FINRA, joined Raymond James Associates Inc. in Atlanta, Georgia, on November 7, 2023. Prior to this, his career included stints […]

Soreide Law Group is currently investigating potential claims on behalf of investors who may have sustained financial losses due to the activities of securities broker David Wayne Karin (CRD#: 2486154, Westlake Village, California). Specifically, Karin has been registered with Western International Securities, Inc. since March 30, 2012. Moreover, he has been affiliated with IA Western […]

Soreide Law Group is investigating possible investor claims against securities broker Rodney Ferguson (CRD: 2482868, Chesterfield, Missouri). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for NYLife Securities LLC. Evidently, investors allege sales practice violations in these disputes, including that Ferguson gave unsuitable […]

Soreide Law Group has learned of possible investor claims against securities broker Christine Anne Warner (also known as Christine Anne Schneider) (CRD: 4001584, Mount Pleasant, Texas). Particularly, FINRA sanctioned the securities broker, who worked for Monticello Financial Group LLC. Allegedly, Warner failed to supervise registered representatives. Here is a brief summary of FINRA’s allegations against […]

FINRA reports important information about securities broker Robert Earl Turner Jr. (CRD: 2113736, Waco, Texas). Not only has FINRA sanctioned Turner for engaging in private securities transactions, but investors disputed the sales practices of the securities broker. However, Turner denies the allegations. Read on to learn more about the allegations against Turner. FINRA Sanctions Turner […]

Soreide Law Group is looking into possible investor claims against securities broker Jake Louis Fruge (CRD: 6187396, Houston, Texas). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for PFS Investments Inc. Evidently, investors allege sales practice violations in these disputes, including that Fruge […]

Investors complained about securities broker David Fleming Crossan (CRD: 2537752, Manchester, New Jersey). Notably, the securities broker, who worked for Wells Fargo Clearing Services LLC, disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Namely, Wells Fargo Clearing Services LLC clients allege that Crossan breached a fiduciary duty and gave unsuitable advice, among other […]

Investors complained about securities broker Leo Li-Yuan Chien (CRD: 4169619, San Gabriel, California). Notably, the securities broker, who worked for Cetera Investment Services LLC, disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Namely, Cetera Investment Services LLC clients allege that Chien gave unsuitable advice. For more on these disclosures about Chien, see below. […]

Soreide Law Group is investigating possible investor claims against securities broker Rett Ellis (also known as Everett Bryant Ellis) [CRD: 4046494, Gulf Breeze, FL]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosed that investors complained about the securities broker, who worked for BBVA Securities Inc. Here is a brief summary of the disclosures about Rett […]