Investors potentially incurred losses because of securities broker Victor M. Torres (also known as Victor Torres-Hernandez) [CRD: 5919902, Fort Lauderdale, Florida], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Torres has been registered with Equitable Advisors LLC since October 23, 2018. Keep reading to find out more about Torres’s disclosures. Equitable […]

Investors might have sustained losses due to securities broker Kenneth Thomas Shotsberger (also known as Ken Shotsberger) [CRD: 6186517, Deerfield, Illinois], according to publicly available information on FINRA BrokerCheck. Notably, Kenneth Shotsberger worked for Equitable Advisors LLC from September 8, 2017 to April 29, 2024. Keep reading to find out more about the securities broker’s […]

One or more investors apparently complained about securities broker Madison Morgan [CRD: 7654959, Mandeville, Louisiana], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Madison Morgan has been a registered broker with NYLIFE Securities LLC in Mandeville, Louisiana, since June 22, 2023. Keep reading to discover more about the disclosures involving Madison Morgan […]

Ameriprise Financial Clients Allege Sales Practice Violations By Richard Martin Soreide Law Group is investigating potential disputes to bring on behalf of investors against securities broker Richard Paul Martin (CRD#: 1536729, Goshen, New York). Evidently, Martin joined Ameriprise Financial Services in September 1986 as a securities broker. He became a financial advisor in January 2007. […]

Broker Andrew Roybal Facing Disputes From UnionBanc Investors Soreide Law Group has come across new information in regard to securities broker Andrew Ricardo Roybal (CRD#: 2675889, San Diego, California), who worked for UnionBanc Investment Services from 1997 to 2020 as both a financial advisor and securities broker. Namely, the Financial Industry Regulatory Authority (“FINRA”) BrokerCheck […]

Soreide Law Group has been contacted by two former clients of Anthony Diaz (CRD #4131948), a Scotrun, Pennsylvania, financial planner who has been accused by the Financial Industry's Regulatory Authority (FINRA) of allegedly duping dozens of clients out of millions of dollars over the past few years. We are currently investigating these allegations. FINRA alleges […]