Loading...

Texas Ameriprise Financial Broker, William W. Marshall, Fined and Suspended by FINRA

April 27th, 2016|

Soreide Law Group (888-760-6552) obtained the following information on FINRA’s website listed under, “Disciplinary and Other FINRA Actions, April 2016.” [...]

Investors Check Out Your Financial Advisor BEFORE You Invest

April 22nd, 2016|

The Securities and Exchange Commission is running a new ad campaign targeting seniors encouraging them to look up their [...]

Former LPL Financial Jupiter, Florida Broker Christopher B. Kelly, Fined and Suspended by FINRA for Borrowing Money from Clients

April 22nd, 2016|

The South Florida based law firm, Soreide Law Group, obtained the following summary of information from FINRA's website under, "Disciplinary [...]

Coral Springs, Florida Broker, Stuart Horowitz, formerly with Securities America Inc., Fined and Suspended by FINRA for Engaging in Unsuitable Trading

April 22nd, 2016|

South Florida-based Soreide Law Group, (888) 760-6552, obtained the following information from FINRA's website under “Disciplinary and Other FINRA Actions, [...]

Brian L. Pittman, Florida Broker Fined and Suspended by FINRA Over a Promissory Note Security Offered by an Oil Company

April 20th, 2016|

The Florida-based Soreide Law Group (888-760-6552) obtained the following information on FINRA’s website listed under, “Disciplinary and Other FINRA Actions, [...]

Did Your Broker Recommend ‘Atlas Resources Series 34-2014 LP?’

April 20th, 2016|

Atlas Energy LP is asking for investors to contribute at least $25,000 in a partnership that will drill for oil [...]

South Florida Broker, Giovanni L. Acevedo, Barred by FINRA for Alleged Conversion of $160,000

April 19th, 2016|

The Pompano Beach, Florida-based Soreide Law Group obtained the following information from FINRA's website under, "Disciplinary and Other FINRA Actions, [...]

Peabody Energy (BTU) Declares Bankruptcy

April 18th, 2016|

Soreide Law Group is actively filing cases on behalf of clients who purchased stock in the world's largest independent coal [...]

Did Your Wells Fargo Broker Recommend the Now Bankrupt, Cubic Energy Inc.?

April 18th, 2016|

Soreide Law Group in interested in speaking with investors who were recommended purchasing stock in the now bankrupt oil and [...]

Black Elk Energy Offshore Operations Files a Chapter 11 Plan of Liquidation

April 15th, 2016|

Soreide Law Group recently has filed lawsuits on behalf of our clients against brokers/financial advisors for recommending the purchase of [...]

ENERGY XXI FILES FOR BANKRUPTCY

April 15th, 2016|

Soreide Law Group has filed several lawsuits on behalf of our clients against broker/dealers for recommending Energy XXI.  On April [...]

FINRA’s Securities Helpline for Seniors

April 13th, 2016|

The Financial Industry Regulatory Authority (FINRA) began a Securities Helpline for Seniors one year ago, and since then more than $1.25 [...]

Linn Co, LLC (LNCO) Losses?

April 11th, 2016|

Soreide Law Group continues to file several cases regarding the collapse of the oil and gas industry and the devastating [...]

Did Your Broker Recommend Investing In Azure Midstream Partners (AZUR)?

April 11th, 2016|

Soreide Law Group is currently handling cases involving clients who purchased Azure Midstream Partners (AZUR) and have experienced devastating losses. [...]

JAMES W. ANDERSON, Oklahoma Broker, Fined and Suspended for Supervisory Failures

April 6th, 2016|

The Soreide Law Group, (888) 760-6552, recently obtained the following information from FINRA's website under “Disciplinary and Other FINRA Actions, [...]

Former Questar Capital North Dakota Broker, Kevin D. Wanner, Barred by FINRA Over Allegations of Misappropriation

April 4th, 2016|

Soreide Law Group (888-760-6552) represents clients nationwide before FINRA.  The following information was found on FINRA's website in the March [...]

Former New York Broker, Richard A. McGuire, Barred by FINRA and Ordered to Pay $95,000 in Restitution to Client

March 31st, 2016|

Soreide Law Group (888-760-6552) found the following information from FINRA's Disciplinary Report, March 2016. Richard A. McGuire (CRD #4637028, Bay [...]

Wunderlich Securities of Chicago Broker Stephen M. Oberman, Fined and Suspended by FINRA for Falsifying Signatures

March 30th, 2016|

The following information was obtained on FINRA's website from their March 2016 Disciplinary Report. Stephen M. Oberman (CRD #1309066, Naperville, [...]