Investors have come forward with complaints about securities broker Tina Michele Bryant (also known as Tina Rowland Bryant, Tina Bryant, and Tina Bryant Cooper) [CRD: 2851805, Atlanta, Georgia]. Evidently, the securities broker, who worked for Truist Investment Services Inc., disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. For more on these disclosures about […]

Soreide Law Group is investigating possible investor claims against securities broker Michael Ovitt [CRD#: 1012040, Williamsville, New York]. Specifically, FINRA BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for firms including Wells Fargo Advisors. Evidently, one or more clients allege sales practice violations in these disputes, including unauthorized transactions. […]

In a June 4, 2013, article from the Navajo-Hopi Observer, it was reported that the Hopi Tribe is suing Wachovia Bank Companies and two of its financial advisors for nearly $190 million in losses and penalties for what the tribe claims is investment fraud. The tribe claims that Wachovia Bank financial advisors, David Boling and […]

Lars Soreide, Esq, of Soreide Law Group, PLLC, had a recent FINRA Arbitration award published in the latest edition, May, 2013, of the PIABA Bar Journal. Only the most significant cases are chosen for publication in PIABA. Mr. Soreide was the Claimant's counsel and the Respondent was Wachovia Securities, dba Wells Fargo Advisors LLC, and […]

The Soreide Law Group, PLLC, a Securities Arbitration Law Firm, (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, April, 2013.” Roman Jerzy Sledziejowski (CRD #3141438, Registered Principal, Ossining, New York) was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations, Sledziejowski […]

FINRA, the Financial Industry Regulatory Authority, alleges Roman Sledziejowski, the Polish president and owner of TWS Financial, LLC, in Brooklyn, N.Y., used customer funds for his own use and gave false statements to clients from June, 2009, through August, 2012. FINRA alleges Sledziejowski defrauded three Polish customers of more than $4 million by taking money […]

The following appeared on FINRA's website's 'Disciplinary Actions, November, 2011: Tom Douglas Hamsher (CRD #1708793, Registered Supervisor, Webb City, Missouri) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Hamsher consented to the described sanction and […]