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November 20, 2023
Wells Fargo Investors Complain About Leigh Einhorn

Soreide Law Group is conducting an investigation into potential claims on behalf of investors who have suffered losses due to the actions of securities broker Leigh Eran Einhorn [CRD: 3000924, Summit, New Jersey]. Einhorn has been registered with Wells Fargo Clearing Services LLC since October 2000 and with Wells Fargo Advisors since January 2004. Investor […]

December 8, 2022
Tina Bryant Disclosed Allegations Of Sales Practice Violations

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 […]

September 4, 2018
Wells Fargo’s Charles Sherman Sanctioned By FOFR

Wells Fargo’s Charles Sherman Sanctioned By FOFR Christopher Charles Sherman (CRD #: 2233839, Viera, Florida) is a prior Wells Fargo Advisors, LLC registered representative whose registration was terminated on June 18, 2014. The Florida Office of Financial Regulation issued an Order on April 5, 2017 requiring Sherman to cease and desist breaking rules relating to […]

August 2, 2013
FINRA Orders Wells Fargo Advisors to Pay $1.8 Million to Client for Unsuitable Investments

A FINRA arbitration panel ordered Wells Fargo & Co.'s (WFC) retail brokerage unit to pay retired real-estate broker, Philip Lovell, $1.8 million for losses tied to investments in soda and pharmaceutical companies. Lovell accused Wells Fargo Advisors and Wells Fargo broker, John Bulkley Meacham, of having him invest his money in thinly traded securities that […]

June 20, 2013
Former Wells Fargo Advisors Connecticut Broker Barred by FINRA

The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” Joseph John Antosh Jr. (CRD #713649, Registered Representative, Brookfield, Connecticut) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Joseph Antosh consented to the described sanction and to the entry of findings […]

May 30, 2013
Did You Invest in ETF's with Michael French of Wells Fargo Advisors?

Soreide Law Group is investigating claims on behalf of Wells Fargo Advisors, LLC, investors that suffered losses in inverse and leveraged ETFs (Exchange Traded Funds) with former Wells Fargo broker and branch manager, Michael E. French, in Colchester, Vermont. According to Mr. French's CRD, he was discharged in August, 2011, for violating firm policy by […]

May 13, 2013
Lars Soreide, Esq., Client Award Published in May, 2013, PIABA Bar Journal

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 […]

April 12, 2013
FINRA Fines Wells Fargo Advisors and E*Trade Securities for Spousal Theft From Brokerage Account

An arbitration panel of the Financial Industry Regulatory Authority (FINRA) has ruled in favor of the investor in an arbitration case against Wells Fargo Advisors LLC, and E*Trade Securities LLC. The FINRA arbitration panel found Wells Fargo Advisors liable to the investor for $50,253 in compensatory damages, and E*Trade Securities liable for an additional $33,502 […]

May 7, 2012
ETFs Need Closer Attention, Says Senator Reed

This past Tuesday, May 1st., FINRA, the Financial Industry Regulatory Authority, Inc. fined four major brokerages $9.1 million for selling complex ETFs (Exchange Traded Funds) to investors whose portfolios were otherwise conservative.  Without admitting or denying the charges, the brokerges will be paying $7.3 million in fines, and $1.8 million in restitution to the clients who […]

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