The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2013.”

Alison Marie Janke (CRD #4409155, Registered Representative, Port Richey, Florida)

was fined $11,600, which includes the disgorgement of financial benefit received of $6,600, and suspended from association with any FINRA member in any capacity for three months.

Without admitting or denying the findings, Alison Janke consented to the described sanctions and to the entry of findings that she had participated in a private securities transaction without providing prior written notice to her member firm.

Ms.Janke referred a customer who was seeking alternative investments to a registered representative at a different firm, where the customer invested $200,000 in a real estate investment trust (REIT) through the other registered representative. Alison Janke not only referred the customer to another representative, but also attended the meeting with the customer and the other representative, and assisted with the completion of the purchase transaction.

The findings stated that a limited liability company Janke owned received a $6,600 payment in connection with the sale of the REIT.

The suspension is in effect from December 3, 2012, through March 2, 2013.
(FINRA Case #2011030660801)
This ends the information from FINRA’s website.

Securities Lawyer, Lars K. Soreide, of Soreide Law Group, PLLC, has represented clients nationwide. If you find yourself in this situation, or a similar situation with your broker or financial advisor, call for a free consultation with an attorney, 888-760-6552, or visit our website at: http://www.securitieslawyer.com.

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Soreide Law Group is currently investigation the UBS Willow Fund. This distressed debt hedge fund was formed in 2000. In October, 2012, its investors were informed that the fund would be liquidated after having sustained substantial losses. Willow Fund’s net asset value declined over $300 million.

In December, 2012, a class action lawsuit was filed against the UBS Willow Fund. The class action lawsuit may result in a recovery of some losses for UBS Willow Fund investors, however, we are investigating the liability that the brokerage firms and financial advisors potentially have for selling the UBS Willow Fund.

Securities Lawyer, Lars K. Soreide, of Soreide Law Group, who represents clients nationwide before FINRA. If you invested in the UBS Willow Fund, call for a free consultation with an attorney on how to potentially recover your losses, at 888-760-6552, or visit our website at: http://www.securitieslawyer.com.

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The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2013.”

David Scott Isolano (CRD #2504880, Registered Principal, Harrisburg, Pennsylvania)

was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Isolano consented to the described sanction and to the entry of findings that he failed to respond to a FINRA request to appear for on-the-record testimony concerning an investigation into fixed income transactions executed with excessive markups.

(FINRA Case #2009019803302)

This ends the information from FINRA’s website.

Securities Lawyer, Lars K. Soreide, of Soreide Law Group, represents clients nationwide before FINRA. If you or a loved one have sustained investment losses due to your stock broker or financial advisor’s recommendations, call for a free consultation on how to potentially recover your losses. To speak with an attorney call 888-760-6552, or visit our website at: http://www.securitieslawyer.com.

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The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2013.”

John Boyd Dexter (CRD #1354376, Registered Principal, North Miami, Florida)

was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Dexter consented to the described sanction and to the entry of findings that he failed to appear for
testimony as FINRA requested in connection with an investigation that FINRA had initiated concerning alleged suspicious activity at a member firm’s branch, where Dexter was employed as branch office manager.

The findings stated that in a telephone conversation with FINRA, Dexter stated that he would not provide testimony or cooperate with the
investigation because he was no longer employed in the securities industry. (FINRA Case #2011030204601)
This ends the information from FINRA’s website.

Securities Lawyer, Lars K. Soreide, of Soreide Law Group, represents clients nationwide before FINRA. If you or a loved one have sustained investment losses due to your stock broker or financial advisor’s recommendations, call for a free consultation on how to potentially recover your losses. To speak with an attorney call 888-760-6552, or visit our website at: http://www.securitieslawyer.com.

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Soeide Law Group is currently investigating broker, Bambi I. Holzer, CRD #1088028. Ms. Holzer is currently a registered representative with Newport Coast Securities of Beverly Hills, CA. There have allegedly been numerous (over 50) reports filed against her in her 25+ year career, and over $11 million in awards and settlements. Several of these complaints have been regarding the improper sale of private placements, and the sale of variable annuities, another high-risk product that is now under heavy scrutiny from federal regulators.

She was previously employed by these Beverly Hills, CA, brokerages: Wedbush Morgan Securities, Sequoia Equities Securities Corp., and Brookstreet Securities Corp.

If you feel you may have a claim against Bambi Holzer call 888-760-6552.

Securities Lawyer, Lars K. Soreide, of Soreide Law Group, represents clients nationwide before FINRA. If you or a loved one have sustained investment losses due to your stock broker or financial advisor’s recommendations, call for a free consultation on how to potentially recover your losses. Visit our website at: http://www.securitieslawyer.com.

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Soreide Law Group, PLLC, is conducting an investigation into Behringer Harvard REIT I.

Earlier this year, Behringer Harvard REIT I lost two properties in Minnesota and St. Louis to foreclosure. At midyear, the company listed $3.98 billion in assets and $2.509 billion in liabilities.

There are now lawsuits stating that share values in the REIT have fallen from about $10 in the original offering to currently as little as $2.40 in the secondary market. Some of the claims in the lawsuit allege that the Behringer Harvard REIT’s officers misrepresented its financial results and prospects. Other claims in the suit state that officers charged excessive fees and “compensated themselves handsomely out of the proceeds they have raised from the offerings.”

If your stock broker or financial advisor sold you Behringer Harvard Strategic Opportunity Fund I, and you sustained a significant loss of your investment, call Securities Lawyer, Lars Soreide, at 888-760-6552 for a free consultation, or visit Soreide Law Group’s website at: http://securitieslawyer.com.

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FINRA, the Financial Industry Regulatory Authority, is investigating independent broker-dealers that sold variable annuities with subaccounts invested in hedge funds that resulted in $18 million in client losses during the credit crisis writes Bruce Kelly in a recent article for InvestmentNews.com.

FINRA has been investigating the sale of a variable annuity issued by Sun Life Financial Inc. The two hedge funds were the Foresee Strategies Insurance Fund and the Foresee Strategies 3(c)(1) Insurance Fund LP, which were related to a group called the SALI Multi-Series Fund LP.

Kelly writes that the broker-dealers that have faced FINRA arbitration complaints from investors regarding the Sun Life annuities include: Geneos Wealth Management Inc., Lincoln Financial Network, National Planning Corp., SagePoint Financial Inc., and FSC Securities Corp.

A FINRA spokeswoman Michelle Ong would say only that the brokerage industry’s self-regulator does not confirm investigations.

A FINRA arbitration panel has issued a $284,000 award to a SagePoint client, who filed a claim against the firm last year. His arbitration complaint alleged unsuitability, common law fraud, breach of fiduciary duty and negligence related to investments in the SALI Multi-Series Fund and the SALI Multi-Series Fund 3(c) (1) LP.

InvestmentNews.com writes that the fund was put together in 2004 to 2007, which was called a period of low volatility. The strategy collapsed when the market crashed beginning in September 2008 and then rebounded sharply in March 2009. One fund lost 90% of its value; the other lost 75%.

Three of the broker-dealers have resolved litigation, with more to come against SagePoint and National Planning. Investors are also suing Sun Life Financial in state court in Tennessee.

If you or a family member were sold a variable annuity with a hedge fund and experienced financial losses, contact an attorney at Soreide Law Group for a free consultation on how to recover your investment losses. To speak with an attorney, call 888-760-6552, or visit http://www.securitieslawyer.com.

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Soreide Law Group is investigating claims on behalf of UBS investors who have sustained losses investing in UBS Yield Optimization Notes. Yield Optimization Notes, otherwise known as reverse convertibles, are complex structured products with substantial risk. Reverse convertibles are the subject of multiple regulatory investigations. Upon information and belief, UBS did not require option suitability approval for Yield Optimization Note clients. UBS Yield Optimization Notes purchasers were buying the equivalent of a short put transaction. UBS marketed these products on certain volatile stocks that have suffered substantial declines including Micron, RIMM, US Steel, First Solar, and others including structured products such as UBS 100% principal protection notes, UBS Yield Optimization Notes with Contingent Protection, UBS Bullish Underlying Linked Securities (UBS BULS), and UBS Enhanced Appreciation Securities (UBS EAS).

If you have experienced financial losses from investing in UBS Yield Optimization Notes or another reverse convertible product, call Lars K. Soreide, of the Soreide Law Group, at 888-760-6552 for a free consultation or visit our website at http://www.securitieslawyer.com.

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Soreide Law Group is currently investigating potential claims for clients who lost money in UBS Willow Fund, LLC.

The UBS Willow Fund is a close-ended fixed income mutual fund that launched in 2000, and is managed by UBS Willow Management, L.L.C. The Willow Fund primarily invests in the fixed income markets of the United States.

If you have sustained significant losses in the UBS Willow Fund call attorney Lars Soreide at (888) 760-6552. Representing investors nationwide before FINRA.

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LaeRoc Funds are real estate ‘private placements’ sold by various broker/dealers. LaeRoc Funds, a real estate investment firm, manages over $650 million in assets. LaeRoc 2005-2006 Income Fund, L.P., is trying to raise enough money to pay off debt due to the decline in real estate ventures. June, 2011, the Fund issued a cash call to investors who purchased the LaeRoc 2005-2006 Income Fund. A cash call is often a red flag for investors.

A notice of dissolution has been issued to investors in the LaeRoc 2002 Income Fund, L.P. Several properties in the LaeRoc Funds are in financial distress, consequently depressing the value of the Funds.

These investments may have been represented to the investor as low risk or conservative. If you feel that the investments may have been misrepresented to you, the conservative investor, we would like to speak to you.

Securities Lawyer, Lars K. Soreide, of Soreide Law Group, PLLC, represents clients nationwide. For a free consultation on how to potentially recover your losses call: 888-760-6552, or you may visit our website at: http://www.securitieslawyer.com.

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