Unsuitable Recommendations in ETFs

November 11th, 2015|

A Carlton & Associates broker from Sparks, Nevada was fined $15,000, suspended by FINRA for 45 days, and suspended from [...]

Did You Invest in Options with Whitney Thatcher of Kovack Securities?

September 7th, 2012|

The Soreide Law Group is currently investigating claims on behalf of Kovack Securities clients who invested in options with Whitney [...]

Elevation LLC, Fined and Censured by FINRA

December 23rd, 2011|

Elevation, LLC (CRD #140341, Charlotte, North Carolina)   submitted a Letter of Acceptance, Waiver and Consent in which the firm [...]

Did You Invest in Foresee Strategies Insurance Funds?

November 17th, 2011|

Soreide Law Group, PLLC is currently investigating potential claims related to the Foresee Strategies Insurance Funds 3(c)(1) and 3(c)(7), which were [...]