Securities Service Network Clients Suggest Peter Holler Sold Bad Woodbridge Notes Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of sales practice violations by securities broker Peter Holler [CRD# 838897, Bristol, Tennessee]. Evidently, from 2001 and 2017, he worked for Securities Service Network between, who disaffiliated with him for concealing information about […]

FINRA Issues Fine, Suspension To ROGER OWENS The Financial Industry Regulatory Authority (“FINRA”) announced on August 14, 2019 that it issued a 12-month suspension and $10,000 fine to Cetera Advisors securities broker Roger Owens (CRD#: 2359204, Elkton, Maryland). Evidently, Owens submitted a Letter of Acceptance, Waiver and Consent (“AWC”) on July 15, 2019, which FINRA […]

JEFF NIMMOW Sell You Bad Investments? Soreide Law Group is considering bringing claims on behalf of investors who incurred losses by investing with Jeff Nimmow (CRD#: 2693601, Hillside, Illinois). According to Nimmow’s Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Report, at least four clients complained about his sales practices. Not only that, but Forest Securities discharged […]

INVESTOR ALERT: FINRA Bars Foresters Equity Services Broker Michael Rappa For Selling Away The Financial Industry Regulatory Authority (“FINRA”) barred Foresters Equity Services securities representative Michael Rappa (CRD#: 4799159, San Diego, CA) for selling away. Notably, Mr. Rappa, who worked for Foresters Equity Services from 2010 to 2017 – submitted a Letter of Acceptance, Waiver […]