Soreide Law Group is investigating potential claims for investors who have encountered losses attributed to William Seibert [CRD#: 2710335, Baton Rouge, Louisiana]. Seibert's professional affiliations include Raymond James Associates Inc., who he joined on February 13, 2013. Notably, FINRA BrokerCheck shows investor complaints against Seibert. Below is a summary of the investor disputes.
A client of Raymond James Associates Inc. initiated FINRA Arbitration No. 23-00114 on January 13, 2023. Namely, the client alleged that William Seibert recommended concentrated investments in high-risk oil and gas sectors, making them unsuitable for the client's profile. The client, who incurred losses on stocks, is seeking damages over $5,000 from either Raymond James Associates Inc. or Seibert. Currently, this arbitration is under review.
Also, a client filed FINRA Arbitration No. 20-04216 against William Seibert for recommending unsuitable investments, primarily in oil and gas securities. Notably, the allegations also included reverse churning and undisclosed margin use. The firm settled the case on August 21, 2023, for $1,022,500.
If you've suffered losses due to securities broker William Seibert, connect with Soreide Law Group online or call (888) 760-6552. Our securities attorneys can discuss the potential for recovering your investment losses. Operating on a contingency fee basis, Soreide Law Group advances all necessary costs. Seibert and his affiliated firms, including Raymond James Associates, dispute any claims of improper sales practices.
Investors might have sustained losses due to securities broker James Fredrick Tighe [CRD: 3129233, Phoenix, Arizona], and Financial Industry Regulatory Authority barred him, based on public information on BrokerCheck. Tighe was associated with Morgan Stanley from June 1, 2009, through January 14, 2025. Continue reading to find out more about Tighe’s regulatory and client dispute […]
Investors potentially experienced sales practice violations by securities broker Sung Moo Cho (also known as Sam Cho) [CRD: 5015906, New York, New York], and FINRA barred him, given the public information found on FINRA BrokerCheck. Cho was associated with Ameriprise Financial Services from January 22, 2021, to October 21, 2025, and Citigroup Global Markets from […]
Investors potentially incurred losses because of securities broker Raymond Trey Brown [CRD: 6170291, Frisco, Texas], and FINRA sanctioned him, according to disclosures on FINRA BrokerCheck. Brown worked for Northwestern Mutual Investment Services LLC, from March 17, 2014, to December 13, 2024. See below to learn more about Brown’s disclosures. FINRA Sanctioned Raymond Brown For Failure […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com