One or more investors apparently complained about securities broker Raymond Trey Brown [CRD: 6170291, Frisco, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Raymond Brown worked for Northwestern Mutual Investment Services LLC from March 17, 2014 to December 13, 2024. Below, you can find important information about the disclosures concerning Brown’s investment […]

Investors might have sustained losses because of securities broker Evan Drew Saterfiel [CRD: 5193895, Lafayette, Louisiana], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Saterfiel has worked as a broker and investment adviser in Louisiana, most recently registered with NewEdge Securities LLC since March 6, 2023. He has also been affiliated with NewEdge […]

Investors potentially experienced losses because of securities broker James Taylor Davis [CRD: 6646090, Lexington, Kentucky], according to disclosures on FINRA BrokerCheck. It appears that Davis worked for Northwestern Mutual Investment Services LLC from December 13, 2017, to June 21, 2024. Keep reading to learn more about the client disputes regarding Davis. Northwestern Mutual Investment Services […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Zachary McCraw (also known as Zach Ross McCraw) [CRD: 7003820, Ridgeland, Mississippi]. McCraw was previously registered with Pruco Securities LLC from November 2018 to July 2023, serving as a registered representative. Recent disclosures reveal concerns about McCraw’s conduct, including allegations of submitting non-genuine electronic […]

Investors complained about securities broker Randall Blake Barkhurst (also known as Randy Barkhurst) [CRD: 2104888, Tualatin, Oregon], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Randall Barkhurst worked for Pruco Securities LLC since December 17, 1990, and Prudential Financial Planning Services since October 13, 2008. The following information is an overview of […]

MML Ends Employment Relationship With Broker Chander Goel Over Life Insurance Practices Soreide Law Group is looking into potential investor disputes against broker Chander Goel [CRD#: 4588999, New York, New York]. Apparently, MML Investors Services terminated him for suspicious life insurance practices. It seems that Goel possibly used inappropriate life insurance sales practices which may […]

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 […]