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	<title>Securities Lawyer Blog</title>
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	<description>Victim of Fraud?</description>
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		<title>Ft. Lauderdale Rep Barred by FINRA</title>
		<link>http://www.securitieslawyer.com/securitieslawyerblog/?p=2419</link>
		<comments>http://www.securitieslawyer.com/securitieslawyerblog/?p=2419#comments</comments>
		<pubDate>Wed, 16 May 2012 18:09:03 +0000</pubDate>
		<dc:creator>Securities Lawyer</dc:creator>
				<category><![CDATA[FINRA]]></category>
		<category><![CDATA[broker failure to obtain firm's written acceptance]]></category>
		<category><![CDATA[Broker failure to respond to FINRA requsest for information]]></category>
		<category><![CDATA[broker inflating values]]></category>
		<category><![CDATA[broker misrepresenting funds]]></category>
		<category><![CDATA[Broker misusing customer funds]]></category>
		<category><![CDATA[broker not getting written authority to trade]]></category>
		<category><![CDATA[failure to respond to FINRA requests]]></category>
		<category><![CDATA[failure to supervise brokers]]></category>
		<category><![CDATA[Financial Industry Regulatory Authority]]></category>
		<category><![CDATA[FINRA arbitration]]></category>
		<category><![CDATA[fort lauderdale securities fraud lawyer]]></category>
		<category><![CDATA[Ft. Lauderdale Securities Lawyer]]></category>
		<category><![CDATA[Ft. Lauderdale stock loss lawyer]]></category>
		<category><![CDATA[investors funds not safe]]></category>
		<category><![CDATA[Lars K. Soreide]]></category>
		<category><![CDATA[liquidity risks with RCN]]></category>
		<category><![CDATA[misappropriation]]></category>
		<category><![CDATA[misappropriation of funds by broker]]></category>
		<category><![CDATA[misrepresented riskiness to clients by brokers]]></category>
		<category><![CDATA[private securities transactions without written notification]]></category>
		<category><![CDATA[reverse convertible notes]]></category>
		<category><![CDATA[risky RCNs]]></category>
		<category><![CDATA[Sean Donald Premock Ft. Lauderdale FL]]></category>
		<category><![CDATA[Sean Premock]]></category>
		<category><![CDATA[Sean Premock banned by FINRA]]></category>
		<category><![CDATA[securities lawyer]]></category>
		<category><![CDATA[stockbroker failure to get written authorization]]></category>
		<category><![CDATA[supervisory failures]]></category>
		<category><![CDATA[written due diligence policies by brokers]]></category>

		<guid isPermaLink="false">http://www.securitieslawyer.com/securitieslawyerblog/?p=2419</guid>
		<description><![CDATA[The following information is from FINRA’s website under, “Disciplinary and Other FINRA Actions, May, 2012.” Sean Donald Premock (CRD #3175558, Registered Representative, Fort Lauderdale, Florida)   submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Premock [...]]]></description>
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		<slash:comments>0</slash:comments>
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		<item>
		<title>FINRA Fines and Suspends Harrison Hatzis, Hallandale, FL</title>
		<link>http://www.securitieslawyer.com/securitieslawyerblog/?p=2417</link>
		<comments>http://www.securitieslawyer.com/securitieslawyerblog/?p=2417#comments</comments>
		<pubDate>Wed, 16 May 2012 17:49:39 +0000</pubDate>
		<dc:creator>Securities Lawyer</dc:creator>
				<category><![CDATA[FINRA]]></category>
		<category><![CDATA[broker withholding information]]></category>
		<category><![CDATA[brokerage supervisory deficiencies]]></category>
		<category><![CDATA[failure to supervise brokers]]></category>
		<category><![CDATA[Financial Industry Regulatory Authority]]></category>
		<category><![CDATA[FINRA arbitration]]></category>
		<category><![CDATA[finra lawyer]]></category>
		<category><![CDATA[finra securities arbitration lawyer]]></category>
		<category><![CDATA[fort lauderdale securities fraud lawyer]]></category>
		<category><![CDATA[Ft. Lauderdale Securities Lawyer]]></category>
		<category><![CDATA[Harrison A Hatzis Hallandale FL]]></category>
		<category><![CDATA[Harrison Hatzis]]></category>
		<category><![CDATA[Harrison Hatzis FINRA]]></category>
		<category><![CDATA[Inaccurate information submitted to FINRA]]></category>
		<category><![CDATA[inadequate supervisory procedures by broker/dealers]]></category>
		<category><![CDATA[Lars K. Soreide Soreide Law Group]]></category>
		<category><![CDATA[misleading FINRA with incomplete information for brokerage]]></category>
		<category><![CDATA[securities lawyer]]></category>
		<category><![CDATA[securities lawyer in south florida]]></category>
		<category><![CDATA[stock loss law firm]]></category>
		<category><![CDATA[stock loss lawyer]]></category>
		<category><![CDATA[supervisory failures]]></category>

		<guid isPermaLink="false">http://www.securitieslawyer.com/securitieslawyerblog/?p=2417</guid>
		<description><![CDATA[The following information is from FINRA’s website under, “Disciplinary and Other FINRA Actions, May, 2012.” Harrison A. Hatzis (CRD #2640978, Registered Principal, Hallandale, Florida)   was fined $30,000 and suspended from association with any FINRA member in any capacity for two years.   The NAC imposed the sanctions following appeal of an Office of Hearing [...]]]></description>
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		<slash:comments>0</slash:comments>
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		<item>
		<title>Palm Harbor, FL, Registered Supervisor Fined and Suspended by FINRA</title>
		<link>http://www.securitieslawyer.com/securitieslawyerblog/?p=2415</link>
		<comments>http://www.securitieslawyer.com/securitieslawyerblog/?p=2415#comments</comments>
		<pubDate>Tue, 15 May 2012 20:23:25 +0000</pubDate>
		<dc:creator>Securities Lawyer</dc:creator>
				<category><![CDATA[FINRA]]></category>
		<category><![CDATA[broker failure to comply with FINRA requests]]></category>
		<category><![CDATA[brokerage supervisory deficiencies]]></category>
		<category><![CDATA[failure to reply to FINRA]]></category>
		<category><![CDATA[failure to supervise brokers]]></category>
		<category><![CDATA[Financial Industry Regulatory Authority]]></category>
		<category><![CDATA[FINRA arbitration]]></category>
		<category><![CDATA[finra lawyer]]></category>
		<category><![CDATA[fort lauderdale securities fraud lawyer]]></category>
		<category><![CDATA[inadequate supervisory procedures by broker/dealers]]></category>
		<category><![CDATA[Lars K. Soreide]]></category>
		<category><![CDATA[Paul Andrew Fischetti Palm Harbor FL]]></category>
		<category><![CDATA[Paul Fischetti]]></category>
		<category><![CDATA[Paul Fischetti FINRA fined]]></category>
		<category><![CDATA[Soreide Law Group PLLC]]></category>
		<category><![CDATA[supervisory failures]]></category>

		<guid isPermaLink="false">http://www.securitieslawyer.com/securitieslawyerblog/?p=2415</guid>
		<description><![CDATA[The following information is from FINRA’s website under, “Disciplinary and Other FINRA Actions, May, 2012.” Paul Andrew Fischetti (CRD #2300161, Registered Supervisor, Palm Harbor, Florida)   submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended from association with any FINRA member in any capacity for six months. The [...]]]></description>
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		<item>
		<title>Land O&#8217;Lakes, FL Rep Barred by FINRA</title>
		<link>http://www.securitieslawyer.com/securitieslawyerblog/?p=2413</link>
		<comments>http://www.securitieslawyer.com/securitieslawyerblog/?p=2413#comments</comments>
		<pubDate>Tue, 15 May 2012 20:05:56 +0000</pubDate>
		<dc:creator>Securities Lawyer</dc:creator>
				<category><![CDATA[FINRA]]></category>
		<category><![CDATA[broker failure to testify]]></category>
		<category><![CDATA[failure to comply with firms's policies]]></category>
		<category><![CDATA[failure to provide testimony to FINRA]]></category>
		<category><![CDATA[failure to report broker was involved in outside business]]></category>
		<category><![CDATA[failure to report outside business to member firm]]></category>
		<category><![CDATA[Financial Industry Regulatory Authority]]></category>
		<category><![CDATA[FINRA arbitration]]></category>
		<category><![CDATA[finra lawyer]]></category>
		<category><![CDATA[fort lauderdale securities lawyer]]></category>
		<category><![CDATA[inadequate supervisory procedures by broker/dealers]]></category>
		<category><![CDATA[Lars K. Soreide Soreide Law Group]]></category>
		<category><![CDATA[Philip Christopher Crescimanno Land O'Lakes FL]]></category>
		<category><![CDATA[Philip Crescimanno]]></category>
		<category><![CDATA[Philip Crescimanno barred by FINRA]]></category>
		<category><![CDATA[supervisory failures]]></category>

		<guid isPermaLink="false">http://www.securitieslawyer.com/securitieslawyerblog/?p=2413</guid>
		<description><![CDATA[The following information is from FINRA&#8217;s website under, &#8220;Disciplinary and Other FINRA Actions, May, 2012.&#8221; Philip Christopher Crescimanno (CRD #4412658, Registered Representative, Land O’Lakes, Florida) submitted an Offer of Settlement in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations, Crescimanno consented to the described [...]]]></description>
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		<slash:comments>0</slash:comments>
		</item>
		<item>
		<title>Orlando Rep Fined and Suspended by FINRA</title>
		<link>http://www.securitieslawyer.com/securitieslawyerblog/?p=2410</link>
		<comments>http://www.securitieslawyer.com/securitieslawyerblog/?p=2410#comments</comments>
		<pubDate>Tue, 15 May 2012 19:42:21 +0000</pubDate>
		<dc:creator>Securities Lawyer</dc:creator>
				<category><![CDATA[FINRA]]></category>
		<category><![CDATA[brokerage failure to comply with laws and FINRA rules]]></category>
		<category><![CDATA[brokerage supervisory deficiencies]]></category>
		<category><![CDATA[failure to comply with AML procedures]]></category>
		<category><![CDATA[failure to establish due diligence policies for brokerages]]></category>
		<category><![CDATA[failure to supervise brokers]]></category>
		<category><![CDATA[failure to supervise firm's operations]]></category>
		<category><![CDATA[Financial Industry Regulatory Authority]]></category>
		<category><![CDATA[FINRA arbitration]]></category>
		<category><![CDATA[FINRA broker Suspension Busacca]]></category>
		<category><![CDATA[finra lawyer]]></category>
		<category><![CDATA[Ft. Lauderdale Securities Lawyer]]></category>
		<category><![CDATA[inadequate supervisory procedures by broker/dealers]]></category>
		<category><![CDATA[John Brian Busacca III Orlando FL]]></category>
		<category><![CDATA[John Busacca]]></category>
		<category><![CDATA[John Busacca Orlando Broker Suspended]]></category>
		<category><![CDATA[Lars K. Soreide]]></category>
		<category><![CDATA[securities lawyer]]></category>
		<category><![CDATA[Soreide Law Group PLLC]]></category>
		<category><![CDATA[supervisory failures]]></category>

		<guid isPermaLink="false">http://www.securitieslawyer.com/securitieslawyerblog/?p=2410</guid>
		<description><![CDATA[John Brian Busacca III (CRD #2302780, Registered Principal, Orlando, Florida) was fined $30,000 and suspended from association with any FINRA member in any principal capacity for six months. The SEC sustained the sanctions following appeal of a NAC decision. The U.S. Court of Appeals denied Busacca’s petition for review.   The sanctions were based on [...]]]></description>
		<wfw:commentRss>http://www.securitieslawyer.com/securitieslawyerblog/?feed=rss2&#038;p=2410</wfw:commentRss>
		<slash:comments>0</slash:comments>
		</item>
		<item>
		<title>Inland American Real Estate Trust, Largest Nontraded REIT, Under Investigation by SEC</title>
		<link>http://www.securitieslawyer.com/securitieslawyerblog/?p=2405</link>
		<comments>http://www.securitieslawyer.com/securitieslawyerblog/?p=2405#comments</comments>
		<pubDate>Mon, 14 May 2012 17:30:15 +0000</pubDate>
		<dc:creator>Securities Lawyer</dc:creator>
				<category><![CDATA[FINRA]]></category>
		<category><![CDATA[brokers recommending risky investments]]></category>
		<category><![CDATA[Financial Industry Regulatory Authority]]></category>
		<category><![CDATA[FINRA arbitration]]></category>
		<category><![CDATA[finra lawyer]]></category>
		<category><![CDATA[finra securities arbitration lawyer]]></category>
		<category><![CDATA[Inland]]></category>
		<category><![CDATA[Inland America]]></category>
		<category><![CDATA[Inland American fees]]></category>
		<category><![CDATA[Inland American Real Estate Group of Companies Inc]]></category>
		<category><![CDATA[inland american real estate trust inc]]></category>
		<category><![CDATA[Inland American REIT]]></category>
		<category><![CDATA[Inland SEC probe]]></category>
		<category><![CDATA[Lars K. Soreide Soreide Law Group]]></category>
		<category><![CDATA[nontraded real estate investment trusts]]></category>
		<category><![CDATA[Nontraded REITs]]></category>
		<category><![CDATA[Retail Properties of America]]></category>
		<category><![CDATA[Retail Properties of America Inc]]></category>
		<category><![CDATA[SEC investigating REITs]]></category>
		<category><![CDATA[securities lawyer]]></category>
		<category><![CDATA[Western Retail Real Estate Trust Inc]]></category>

		<guid isPermaLink="false">http://www.securitieslawyer.com/securitieslawyerblog/?p=2405</guid>
		<description><![CDATA[In an article by Bruce Kelly of InvestmentNews.com, from May 10, 2011, he writes that the largest nontraded real estate investment trust in the industry, Inland American Real Estate Trust Inc., is under investigation by the Securities and Exchange Commission for potential violations of federal securities laws regarding its fees and administration. The SEC&#8217;s investigation [...]]]></description>
		<wfw:commentRss>http://www.securitieslawyer.com/securitieslawyerblog/?feed=rss2&#038;p=2405</wfw:commentRss>
		<slash:comments>0</slash:comments>
		</item>
		<item>
		<title>AXA Advisors, LLC, Fined by FINRA for Failure to Supervise Ponzi Rep</title>
		<link>http://www.securitieslawyer.com/securitieslawyerblog/?p=2402</link>
		<comments>http://www.securitieslawyer.com/securitieslawyerblog/?p=2402#comments</comments>
		<pubDate>Fri, 11 May 2012 18:32:44 +0000</pubDate>
		<dc:creator>Securities Lawyer</dc:creator>
				<category><![CDATA[FINRA]]></category>
		<category><![CDATA[AXA]]></category>
		<category><![CDATA[AXA Advisors LLC]]></category>
		<category><![CDATA[AXA Group]]></category>
		<category><![CDATA[AXA mutual funds]]></category>
		<category><![CDATA[Axa Neely Ponzi]]></category>
		<category><![CDATA[failure to supervise brokers]]></category>
		<category><![CDATA[Financial Industry Regulatory Authority]]></category>
		<category><![CDATA[FINRA arbitration]]></category>
		<category><![CDATA[FINRA fines AXA]]></category>
		<category><![CDATA[finra lawyer]]></category>
		<category><![CDATA[fort lauderdale securities lawyer]]></category>
		<category><![CDATA[inadequate supervisory procedures by broker/dealers]]></category>
		<category><![CDATA[investment fraud]]></category>
		<category><![CDATA[Kenneth Neely AXA]]></category>
		<category><![CDATA[Kenneth Neely broker complaints]]></category>
		<category><![CDATA[Lars K. Soreide Soreide Law Group]]></category>
		<category><![CDATA[securities lawyer]]></category>
		<category><![CDATA[St. Charles REIT Ponzi Scheme]]></category>
		<category><![CDATA[St. Louis Investment Club]]></category>
		<category><![CDATA[Stifel Nicolaus & Co]]></category>
		<category><![CDATA[supervisory failures]]></category>
		<category><![CDATA[UBS PaineWebber]]></category>
		<category><![CDATA[variable annuity contracts]]></category>
		<category><![CDATA[variable life insurance]]></category>

		<guid isPermaLink="false">http://www.securitieslawyer.com/securitieslawyerblog/?p=2402</guid>
		<description><![CDATA[AXA Advisors, LLC, without admitting or denying the findings, prior to a regulatory hearing and without an adjudication of any issue, submitted a Letter of Acceptance, Waiver and Consent (“AWC”), to the Financial Industry Regulatory Authority (FINRA)which FINRA accepted.  AXA Advisors, LLC, Respondent (AWC 2009020149901, March 13, 2012).  AXA Advisors, LLC employs aproximately 5,800 registered representatives at [...]]]></description>
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		<slash:comments>0</slash:comments>
		</item>
		<item>
		<title>SEC Investigating Inland American Real Estate Trust and Other Non-Traded REITs</title>
		<link>http://www.securitieslawyer.com/securitieslawyerblog/?p=2398</link>
		<comments>http://www.securitieslawyer.com/securitieslawyerblog/?p=2398#comments</comments>
		<pubDate>Fri, 11 May 2012 17:47:18 +0000</pubDate>
		<dc:creator>Securities Lawyer</dc:creator>
				<category><![CDATA[FINRA]]></category>
		<category><![CDATA[brokers recommending risky investments]]></category>
		<category><![CDATA[David Lerner Apple ten REITs]]></category>
		<category><![CDATA[David Lerner sued by FINRA]]></category>
		<category><![CDATA[Financial Industry Regulatory Authority]]></category>
		<category><![CDATA[FINRA arbitration]]></category>
		<category><![CDATA[finra lawyer]]></category>
		<category><![CDATA[fort lauderdale securities fraud lawyer]]></category>
		<category><![CDATA[Ft. Lauderdale Securities Lawyer]]></category>
		<category><![CDATA[Inland America]]></category>
		<category><![CDATA[Inland American Real Estate Trust]]></category>
		<category><![CDATA[Inland Real Estate Group of Companies]]></category>
		<category><![CDATA[KBS Real Estate Investment Trust I Inc]]></category>
		<category><![CDATA[Lars K. Soreide]]></category>
		<category><![CDATA[Non traded REIT loss]]></category>
		<category><![CDATA[Non-Traded Real Estate Investement Trusts]]></category>
		<category><![CDATA[Non-traded REITs]]></category>
		<category><![CDATA[Real Estate Investment Trust]]></category>
		<category><![CDATA[REIT losses]]></category>
		<category><![CDATA[REITs]]></category>
		<category><![CDATA[Retail Properties of America]]></category>
		<category><![CDATA[RPAI -0.22%]]></category>
		<category><![CDATA[SEC warns of non-traded REITs]]></category>
		<category><![CDATA[securities lawyer]]></category>
		<category><![CDATA[Soreide Law Group PLLC]]></category>

		<guid isPermaLink="false">http://www.securitieslawyer.com/securitieslawyerblog/?p=2398</guid>
		<description><![CDATA[Today, in a Wall Street Journal article, Craig Karmin writes that the Securities and Exchange Commission (SEC), is currently investigating an $11 billion real-estate company for potential violations of federal securities laws, looking at the business of real estate investment trusts that aren&#8217;t traded on exchanges. They are looking at the activity of Inland American Real Estate Trust to [...]]]></description>
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		<slash:comments>0</slash:comments>
		</item>
		<item>
		<title>Have You Experienced Losses with CIP Leveraged Fund Advisors, LLC?</title>
		<link>http://www.securitieslawyer.com/securitieslawyerblog/?p=2395</link>
		<comments>http://www.securitieslawyer.com/securitieslawyerblog/?p=2395#comments</comments>
		<pubDate>Thu, 10 May 2012 19:14:32 +0000</pubDate>
		<dc:creator>Securities Lawyer</dc:creator>
				<category><![CDATA[FINRA]]></category>
		<category><![CDATA[brokers recommending risky investments]]></category>
		<category><![CDATA[CHP]]></category>
		<category><![CDATA[CHREF]]></category>
		<category><![CDATA[CIP Leveraged Fund Advisors LLC]]></category>
		<category><![CDATA[CIP losses]]></category>
		<category><![CDATA[Cornerstone Healthcare Plus REIT]]></category>
		<category><![CDATA[Cornerstone Healthcare Real Estate Funds]]></category>
		<category><![CDATA[Cornerstone Industrial Properties]]></category>
		<category><![CDATA[Cornerstone Ventures]]></category>
		<category><![CDATA[Financial Industry Regulatory Authority]]></category>
		<category><![CDATA[FINRA arbitration]]></category>
		<category><![CDATA[Ft. Lauderdale Securities Lawyer]]></category>
		<category><![CDATA[illiquid REITs]]></category>
		<category><![CDATA[investment fund manager]]></category>
		<category><![CDATA[Lars K. Soreide Soreide Law Group]]></category>
		<category><![CDATA[leveraged real estate investment funds]]></category>
		<category><![CDATA[Meadowbrook Healthcare Properties]]></category>
		<category><![CDATA[MHP]]></category>
		<category><![CDATA[Non-Traded Real Estate Investement Trusts]]></category>
		<category><![CDATA[Non-traded REITs]]></category>
		<category><![CDATA[Real Estate Investment Trust]]></category>
		<category><![CDATA[REIT losses]]></category>

		<guid isPermaLink="false">http://www.securitieslawyer.com/securitieslawyerblog/?p=2395</guid>
		<description><![CDATA[Soreide Law Group, PLLC, is investigating claims against brokerages who sold their clients CIP Leveraged Fund Advisors, LLC. These investments may have been misrepresented to a more conservative client, as safe or low risk. Also, it is alleged that some brokers may have over-concentrated CIP in their clients&#8217; portfolios. CIP Leveraged Fund Advisors, LLC, also [...]]]></description>
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		</item>
		<item>
		<title>Did You Invest in JP Morgan&#8217;s Chase Private Client Group?</title>
		<link>http://www.securitieslawyer.com/securitieslawyerblog/?p=2393</link>
		<comments>http://www.securitieslawyer.com/securitieslawyerblog/?p=2393#comments</comments>
		<pubDate>Wed, 09 May 2012 19:30:16 +0000</pubDate>
		<dc:creator>Securities Lawyer</dc:creator>
				<category><![CDATA[FINRA]]></category>
		<category><![CDATA[Chase Private Client Group]]></category>
		<category><![CDATA[Chase Strategic Portfolio]]></category>
		<category><![CDATA[Financial Industry Regulatory Authority]]></category>
		<category><![CDATA[FINRA arbitration]]></category>
		<category><![CDATA[finra lawyer]]></category>
		<category><![CDATA[finra securities arbitration lawyer]]></category>
		<category><![CDATA[Ft. Lauderdale Securities Lawyer]]></category>
		<category><![CDATA[in-house proprietary product for stock investors]]></category>
		<category><![CDATA[JP Morgan Chase Private Client Group]]></category>
		<category><![CDATA[Lars K. Soreide]]></category>
		<category><![CDATA[Lars K. Soreide Soreide Law Group]]></category>
		<category><![CDATA[Losses in JP Morgan Chase Private Client Group]]></category>
		<category><![CDATA[securities lawyer]]></category>

		<guid isPermaLink="false">http://www.securitieslawyer.com/securitieslawyerblog/?p=2393</guid>
		<description><![CDATA[Soreide Law Group, PLLC,  is currently investigating potential claims for the  investors of JP Morgan&#8217;s Chase Private Client Group who were sold in-house proprietary products such as the Chase Strategic Portfolio.   Securities Lawyer, Lars K. Soreide, of Soreide Law Group, PLLC, has represented clients nationwide. If you or a family member have sustained investment losses [...]]]></description>
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