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May 7, 2022
Charla Kabana Discloses Client Dispute, FINRA Bar

Securities Broker Charla Kabana Is Barred By FINRA And Involved In Sagepoint Financial Client's Dispute About Suitability Soreide Law Group is reviewing investor complaints concerning securities broker Charla Cynthia Kabana (CRD#: 1453982, Huntington Beach, California), as disclosed on FINRA BrokerCheck. Particularly, Kabana, who worked for securities firms Sagepoint Financial (her employer from 2016 to 2018) […]

March 8, 2022
John Roberts Out As Benchmark Securities Broker

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 […]

October 25, 2021
Ryan Ott Suspended, Involved In Disputes

Equitable Advisors' Ryan Ott Suspended, Facing Investor Disputes Soreide Law Group has come across some important information relating to Ryan James Ott (CRD#: 6173815, Woodbridge, New Jersey). Notably, FINRA suspended Ott on August 23, 2021. It will potentially bar him by November 1, 2021, if he fails to either cooperate with its inquiry or get […]

October 23, 2021
Sandra McKoy In SunTrust Client Complaints

Clients Of SunTrust File Disputes Alleging Unsuitable Recommendations By Sandra McKoy Financial Industry Regulatory Authority (FINRA) indicates that SunTrust investors have taken issue with the sales practices of Sandra Benain McKoy (CRD#: 2954755, Tamarac, Florida). It appears that McKoy worked as a financial advisor or securities broker for SunTrust Investment Services (1997 to 2017), SunTrust […]

October 11, 2021
Dan McPherson In Cetera Investor Complaints

Cetera Advisors Clients Take Issue With Securities Broker Dan McPherson's Sales Practices Important information is reported on Financial Industry Regulatory Authority (FINRA) as it relates to securities broker Daniel George McPherson ("Dan McPherson") (CRD#: 4964802, Idaho Falls, Idaho). Specifically, three investors filed disputes about the securities broker, who worked for Cetera Advisors LLC (2012 to […]

January 24, 2021
Mark Just Targeted In Triad Advisors Investor Disputes

Clients Of Triad Advisors Dispute Mark Just's Sales Practices Investor Alert! There are problematic disclosures on the FINRA BrokerCheck report of Mark William Just (CRD#: 1138738, Indianapolis, Indiana). Evidently, Just is a Triad Advisors LLC broker. He also works as a financial advisor for The Just Company. Notably, the securities broker is involved in multiple […]

February 16, 2020
Investment Losses From DEAN MINGS?

Tavenner Company Broker Dean Mings Allegedly Sold Bad Annuities Soreide Law Group is investigating possible investor claims about investment losses attributable to the securities business of broker Dean Mings [CRD#: 1197212, Springfield, Ohio]. Supposedly, the broker, who worked for Tavenner Company between 2002 and 2018, reports that the company disaffiliated with him for an outside […]

July 13, 2018
Park Avenue Securites Censured and Fined $300K by FINRA

Soreide Law Group obtained the following information on FINRA’s website under, “Disciplinary and Other FINRA Actions, June 2018.”  Soreide Law Group has handled past cases against Park Avenue Securites. Park Avenue Securities LLC (CRD #46173, New York, New York) was censured, fined $300,000 and required to submit a written certification to FINRA that it has […]

May 10, 2018
Fifth Third Securities Fined $4 Million by FINRA Over Variable Annuity (VA) Sales

AThe Financial Industry Regulatory Authority Inc. (FINRA) fined Fifth Third Securities $4 million and ordered it to pay approximately $2 million in restitution to their clients.  FINRA stated they fined Fifth Third for "failing to appropriately consider and accurately describe the costs and benefits of variable annuity exchanges." FINRA also stated that this was the […]

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