Investors potentially incurred losses because of securities broker Peter Hill (also known as Pete Hill) [CRD: 2432123, Des Moines, Iowa], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Hill worked for Voya Financial Advisors Inc. from January 1, 2004, to May 11, 2020, and later registered with Cambridge Investment Research Inc. […]

Investors apparently complained about securities broker Joyce An Thomas (also known as Cho Ching An) [CRD: 2713664, Diamond Bar, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Thomas has worked for Independent Financial Group LLC since October 8, 2015. See below to find out more about the disclosures involving […]

Investors potentially experienced sales practice violations by securities broker Nathan Cole Wells [CRD: 5553359, Morrison, Illinois], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Wells worked for Voya Financial Advisors Inc. from February 2, 2012, to June 9, 2021; Cetera Advisor Networks LLC from June 9, 2021, to […]

Investors have reportedly disputed the sales practices of securities broker Ashley Charles Woodard [CRD: 4703144, Greenville, South Carolina], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Woodard worked for NYLIFE Securities LLC from December 21, 2017, to October 28, 2020; IFS Securities from February 15, 2017, to November 13, 2017; and […]

Investors might have sustained losses due to securities broker Daniel Tuan Kien Loy (also known as Tuan Loy) [CRD: 3029654, Milpitas, California], according to disclosures on FINRA BrokerCheck. Evidently, Daniel Loy has worked with Independent Financial Group LLC following his registration with Voya Financial Advisors. Check out the following information about the disclosures involving this […]

Soreide Law Group is investigating possible investor claims against David Cameron Monckton (CRD: 2252224, Columbia, South Carolina). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Voya Financial Advisors Inc. Evidently, one or more investors alleged misconduct in these disputes, including that Monckton […]

Investors have come forward with complaints about securities broker Craig Eugene Friedrichsen (also known as Coach Craig) (CRD: 2774629, Topeka, Kansas). Evidently, the securities broker, who worked for Voya Financial Advisors Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Voya Financial Advisors Inc. clients allege that Friedrichsen gave unsuitable advice. For […]

Soreide Law Group is investigating possible investor claims against securities broker Clark Owen [CRD #: 6096730, Cupertino, CA]. Owen worked for (1) Cetera Investment Advisors and Cetera Investment Services from 2018-Present; (2) NI Advisors from 2016-2018; and (3) Voya Financial Advisors from 2014-2015. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that a NI Advisors […]

Voya Client Alleges Misrepresentation By Securities Broker William Johnson Soreide Law Group is reviewing investor disputes concerning securities broker William Colie Johnson (CRD#: 3174473, Greenville, South Carolina), as disclosed on FINRA BrokerCheck. Evidently, Johnson was a securities broker at Voya Financial Advisors from 1999 to 2019. Let’s take a closer look at the allegations of […]