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Did Your Merrill Lynch Broker Recommend the Purchase of Strategic Return Notes?

May 29th, 2016|

Soreide Law Group has launched an investigation on behalf of clients wishing to file claims against Merrill Lynch, Pierce, Fenner [...]

Halen Capital Management Inc of Clearwater Florida Censured and Fined $100,000 by FINRA

May 25th, 2016|

The Florida-based Soreide Law Group obtained the following information on FINRA’s website under, “Disciplinary and Other FINRA Actions, May 2016.” [...]

FINRA Files Complaint Against Florida Broker DENNIS M. MERRITT

May 24th, 2016|

The Pompano Beach, Florida-based Soreide Law Group obtained the following information on a complaint filed against a Florida broker from [...]

Did Your Broker Recommend Petroleo Brasileiro S.A., (Petrobras PBR )?

May 24th, 2016|

Soreide Law Group has filed several cases on behalf of our clients against brokers who recommended: Petróleo Brasileiro S.A. - [...]

Did You Suffer Losses in TransAtlantic Petroleum, Ltd (TAT)?

May 18th, 2016|

Soreide Law Group is currently investigating, on behalf of investors who have suffered devastating losses from purchasing, at their brokers’ [...]

Former National Securities Corporation, Edison, NJ, Broker Joseph J. Labarca, Barred by FINRA

May 18th, 2016|

On February 16, 2016, John Joseph Labarca (CRD #2030473, Spotswood, New Jersey) was barred by FINRA for allegedly refusing to [...]

Did Your Broker Recommend Kayne Anderson MLP (NYSE: KYN)?

May 17th, 2016|

Kayne Anderson MLP (NYSE: KYN) has lost 57% in the past year. 52 week range:  10.10 - 35.02 Kayne Anderson [...]

Another Oil and Gas Company, Breitburn Energy Partners, Declares Bankruptcy

May 16th, 2016|

On Sunday, May 15, 2016, Breitburn Energy Partners LP (BBEP), filed for chapter 11 bankruptcy protection due to plummeting oil [...]

Former Raymond James Broker, CLAUS C. FOERSTER, Pleads Guilty in $3 Million Scam

May 13th, 2016|

CLAUS C. FOERSTER (CRD# 1912949), a 55 year-old former financial adviser with Raymond James and Associates of Greenville, SC, pleaded [...]

Were You a Client of JERRY D. MCCUTCHEN SR Formerly with Berthel, Fisher & Co of Mobile, Alabama?

May 11th, 2016|

Soreide Law Group (888-760-6552) has been contacted by former clients of broker Jerry D. McCutchen, Sr., formerly with Berthel, Fisher [...]

Did You Invest in Aequitas Management, LLC?

May 10th, 2016|

Soreide Law Group is conducting an investigation on behalf of their clients into Aequitas Management, LLC (the company) and other [...]

Former Dawson James Securities, Boca Raton, FL Broker, Pranav Patel, Charged in $131 Milliion Stock Scheme

May 5th, 2016|

PRANAV V. PATEL (CRD# 5391213) a 35 year-old broker from South Florida has been charged in an alleged $131 million [...]

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, [...]