SEC News
- SEC Charges Chicago-Area Father and Son Conducted Cherry-Picking Scheme at Investment Firm May 16, 2013FOR IMMEDIATE RELEASE2013-90 Washington, D.C., May 16, 2013 — The Securities and Exchange Commission today charged a father and son and their Chicago-area investment advisory firm with defrauding clients through a cherry-picking scheme that garnered them nearly $2 million in illicit profits, which they spent on luxury homes, vehicles, and vacations. Addition […]
- SEC Names Keith F. Higgins as Director of Division of Corporation Finance May 15, 2013FOR IMMEDIATE RELEASE2013-89 Washington, D.C., May 15, 2013 — The Securities and Exchange Commission today named Keith F. Higgins as the new director of the agency’s Division of Corporation Finance. Mr. Higgins comes to the SEC from the law firm of Ropes & Gray LLP where he is a partner in its Boston office with 30 years of experience advising public com […]
- SEC Names Lona Nallengara as Chief of Staff May 15, 2013FOR IMMEDIATE RELEASE2013-88 Washington, D.C., May 15, 2013 — The Securities and Exchange Commission today announced that Lona Nallengara has been named the agency’s chief of staff. Mr. Nallengara came to the SEC in March 2011 and served as deputy director for legal and regulatory policy in the Division of Corporation Finance until he was appointed in Decemb […]
- SEC Charges China-Based Executives in Scheme to Overstate Revenues and Divert Money for Personal Use May 15, 2013FOR IMMEDIATE RELEASE2013-87 Washington, D.C., May 15, 2013 — The Securities and Exchange Commission today charged husband-and-wife executives at a China-based company with engaging in a scheme to overstate the company’s revenues and divert proceeds from a securities offering for their personal use. Additional Materials SEC Complaint The SEC alleges that RIN […]
- SEC, FINRA Issue Investor Alert On Pension or Settlement Income Streams May 9, 2013FOR IMMEDIATE RELEASE2013-86 Washington, D.C., May 9, 2013 — The Securities and Exchange Commission and the Financial Industry Regulatory Authority (FINRA) today issued an investor alert entitled Pension or Settlement Income Streams – What You Need to Know Before Buying or Selling Them. The investor alert informs investors about the risks involved when selli […]
About
Soreide Law Group, PLLC, is committed to helping victims recover investment losses due to fraudulent or negligent conduct on behalf of their broker or financial advisors. We are able to represent investors nationwide in the handling of their securities arbitration claims. Our practice focuses on recovering investment losses due to stockbroker negligence or securities fraud. We pursue claims against stockbrokers, financial advisors, brokerage houses, and fund managers. We have brought millions of dollars in claims on behalf of investors before FINRA. 9 out of 10 cases Soreide Law Group has brought on behalf of investors has resulted in a monetary settlement. Of course, results vary and we do not guarantee results.
At our firm you don’t deal with legal secretaries or paralegals, you deal only with lawyers who will be with you through every step of this process. One of the most important decisions that an investor can make in the securities arbitration process is the selection of a securities attorney. Securities arbitration is a unique and complex process that requires highly specialized knowledge to obtain a successful outcome.
A securities arbitration hearing is a trial, conducted in a conference room, with typically three arbitrators instead of a judge and jury.
Financial professionals and brokerage firms know the importance of using experienced securities attorneys. Beware of arbitration consultants, who are not attorneys, that simply do not have the training or legal experience that an attorney has to be able to handle the complex litigation you are facing. Attorney Lars Soreide has worked at FINRA and understands what it takes to have success in bringing a dispute there. Contact us today to speak with an attorney that can help guide you through this challenging process.
http://www.SecuritiesLawyer.com
