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. […]

Securities Broker Wil Rodriguez Involved In Wells Fargo Client's Dispute About Alleged Unauthorized Transactions Soreide Law Group comes to you with new information concerning Wells Fargo securities broker Rodriguez AKA “Wil Rodriquez” and “Wilfredo Rodriguez Jr.” (CRD# 2504369, Boca Raton, Florida). The Financial Industry Regulatory Authority (FINRA) BrokerCheck profile on Rodriguez shows that two investors […]

Morgan Stanley Investor Disputes Concern Securities Broker Bill Collins Soreide Law Group comes to you with new information regarding securities broker William Lief Collins (CRD#: 2787822, Birmingham, MI). Evidently, the Financial Industry Regulatory Authority (“FINRA”) indicates that Collins is a Morgan Stanley financial advisor (June 2010 to present) and Morgan Stanley securities broker (May 2010 […]

Wells Fargo Clients File Disputes About Broker Jeffrey Burton Financial Industry Regulatory Authority (FINRA) BrokerCheck has released new information in regard to securities broker Jeffrey Lamar Burton (CRD#: 2366552, Charleston, South Carolina). Notably, six investors filed disputes in regard to Burton, who worked for securities firms UBS Financial Services (2000 to 2016) and Wells Fargo […]

JOHN SCHMIDT Sentenced To Prison For Securities Fraud Wells Fargo Advisors securities broker John Schmidt (CRD#: 708094, Dayton, Ohio) will reportedly serve 5 years in prison for securities fraud. Notably, the broker, whom Wells Fargo disaffiliated with on October 24, 2017, was convicted of 128 felony counts relating to fraud and forgery. It appears Schmidt […]

PETER MALIS Sell You Unsuitable Investments? Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) shows that investors disputed the sales practices of Wells Fargo Clearing Services, LLC financial advisor Peter Malis (CRD#: 317892, Woodland Hills, California). Apparently, Malis, who has been registered through Wells Fargo Clearing Services, LLC since July 1, 2003, reports five client […]

Wells Fargo Broker David Jay Homan Guilty Of Misappropriation David Jay Homan (CRD#: 1516973, Bay City, Michigan) is a prior financial advisor of Wells Fargo Advisors, LLC who entered a guilty plea to felony embezzlement. Homan pleaded guilty on November 21, 2018 in a Bay County, Michigan Court, and now faces 15 years behind bars. […]

Wells Fargo’s Francisco Ortiz Suspended For Falsifying Wire Request Francisco Jose Ortiz (CRD #4677135, Miami, Florida), who was a registered representative of Wells Fargo Advisors, LLC between June 5, 2013 and June 16, 2015, was required by the Financial Industry Regulatory Authority (“FINRA”) to pay a $5,000.00 fine and suspend acting as a broker or […]

Félix “Tito” Trinidad, a Puerto Rican boxing legend, is being pursued by creditors while he files a claim against the financial advisor who invested more than $60 million of his money in Puerto Rican government bonds. Felix Trinidad has filed with the Financial Industry Regulatory Authority (FINRA) claiming that his financial advisor, José “Pepe” Ramos, […]