Investors have voiced complaints about securities broker Vladislav Michael Romanov (CRD: 2549093, Boston, Massachusetts). Notably, the securities broker, who worked for Wells Fargo Clearing Services LLC, disclosed client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Namely, Wells Fargo Clearing Services LLC clients allege that Romanov caused them to sustain losses. For more on these […]

Soreide Law Group is investigating possible investor claims against Darrell Smith (also known as Darrell Anthony Smith Jr.) (CRD: 6774881, Memphis, Tennessee). Notably, FINRA sanctioned the securities broker, who worked for Wells Fargo Clearing Services LLC. Allegedly, Smith failed to testify when FINRA investigated the securities broker for possible FINRA rule violations relating to unauthorized […]

Soreide Law Group is investigating possible investor claims against securities broker Robert Mehlin (also known as Robert Charles Mehlin Jr.) (CRD:  736694, Fairfield, NJ). Evidently, Coastal Equities Inc. terminated the securities broker for cause following FINRA sanctions. Here is a brief summary of the disclosures concerning this securities broker. Coastal Equities Inc. Disaffiliates With Robert […]

Soreide Law Group is investigating possible investor claims against securities broker Scott Reed AKA Scott Wayne Reed [CRD#: 3007033, Scottsdale, AZ]. Notably, Arizona Corporation Commission Securities Division sanctioned the securities broker, who worked for Wells Fargo Advisors. Allegedly, Reed engaged in private securities transactions. Here is a brief summary of Arizona Corporation Commission Securities Division’s […]

Broker Dudley Stephens Sanctioned By FINRA, Involved In An Investor Dispute Soreide Law Group is reviewing investor complaints concerning securities broker Dudley Franklin Stephens “Stephen Franklin Dudley” (CRD#: 4119268, New York, New York), as disclosed on FINRA BrokerCheck. It appears that Stephens worked for Coastal Equities (2016 to 2018) and Prospera Financial Services (2014 to […]

Broker RJ Bernstein (Morgan Stanley, Wells Fargo) Faces Investor Allegations Of Sales Practice Violations Soreide Law Group is reviewing investor disputes against securities broker Richard Jay “RJ” Bernstein (CRD#: 1113777, Los Angeles, California). Evidently, Bernstein worked for securities firms Merrill Lynch, Bear Stearns, Prudential Securities, Salomon Smith Barney, UBS Financial Services, Morgan Stanley, and Wells […]

Securities Broker Thomas Hunt (Wells Fargo) Involved In Investor Dispute Alleging Sales Practice Violations Soreide Law Group comes to you with new information regarding securities broker Thomas Boley Hunt (CRD#: 1323743, Twin Falls, Idaho). Before joining LPL Financial LLC as a financial advisor and securities broker in August 2018, Hunt worked for securities firms Wells […]

Wells Fargo Client Alleges That Broker Jordan Samelson Made Unauthorized Options Trades The Financial Industry Regulatory Authority (FINRA) shows that five or more investors filed disputes about securities broker Jordan David Samelson (CRD#: 2984356, Huntington, New York). Evidently, as of April 2016, Samelson works for securities firm Wells Fargo Clearing Services LLC in the capacity […]

Securities Broker Paul Vizanko Faces Investor Disputes Alleging Misuse Of Client Funds Soreide Law Group comes to you with new information regarding securities broker Paul Warren Vizanko (CRD#: 2572222, Duluth, Minnesota). Evidently, a client of Wells Fargo (Vizanko’s employer from September 2015 to February 2021) disputed Vizanko’s sales practices. Additionally, FINRA barred Vizanko as a […]