Leif Soreide

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Did You Experience Losses in UBS ETRACS Exchange Traded Notes (ETNs)?

Did You Experience Losses in UBS ETRACS Exchange Traded Notes (ETNs)?

Securities Lawyer2016-10-18T16:56:30+00:00July 20th, 2015|

Investors in Master Limited Partnerships (MLP) have been hard hit in 2015 suffering devastating losses. UBS offers the following exchange [...]

Soreide Law Group Files Lawsuit on Behalf of Investor of Tonon Bioenergia S.A. 9.250% Senior Notes due 2020

Securities Lawyer2015-07-20T13:51:11+00:00July 20th, 2015|

Soreide Law Group recently filed a lawsuit on behalf of an investor who purchased the Tonon Bioenergia S.A. 9.250% Senior [...]

Kansas Broker Barred by FINRA for Failing to Appear for Testimony Into Allegations of Trading in Client Accounts

Securities Lawyer2016-10-18T16:56:30+00:00July 20th, 2015|

Nicholas H. Harper (CRD #2767911, Topeka, Kansas) Alternate Names: NICHOLAS HANSEN HAPER, NICHOLAS HANSEN JARPER was barred by FINRA for [...]

Former Morgan Stanley Broker Kansas City Fined and Suspended by FINRA For Copying and Pasting Client Signatures

Securities Lawyer2016-10-18T16:56:30+00:00July 20th, 2015|

Natalie H. Hall (CRD #3114938, Westwood, Kansas) was assessed a deferred fine of $5,000 and suspended by FINRA 30 business [...]

North Carolina Broker Barred by FINRA

Securities Lawyer2016-10-18T16:56:31+00:00July 20th, 2015|

Soreide Law Group, (888) 760-6552 obtained the following summation of information from FINRA’s website, listed under “Disciplinary and Other FINRA [...]

Former Registered Rep Fined and Suspended by FINRA Over Unlicensed Individual and Misappropriation of Insurance Premium Payments

Securities Lawyer2016-10-18T16:56:31+00:00July 16th, 2015|

Brian Kenneth Edwards (CRD #6011762, Warren, Michigan) was assessed a deferred fine of $5,000 and suspended by FINRA for 14 [...]

Former Edward Jones Broker from Arizona Barred by FINRA for Conversion of Client Funds

Securities Lawyer2016-10-18T16:56:31+00:00July 16th, 2015|

Adam Robert Bollinger (CRD #6065030, Chandler, Arizona) was barred by FINRA for allegedly converting $17,525 from seven individuals, six of [...]

Former Columbus Ohio Broker Barred by FINRA for Misappropriation of Client Funds

Securities Lawyer2016-10-18T16:56:31+00:00July 16th, 2015|

Bryan Andrew Carnahan (CRD #3103811, Gahanna, Ohio) was barred by FINRA for allegedly converting approximately $169,500 in client funds causing [...]

Iowa Firm Censured and Fined by FINA Over Recommending High-Risk ETFs

Securities Lawyer2016-10-18T16:56:44+00:00July 16th, 2015|

Broker Dealer Financial Services Corp. (CRD #8073, West Des Moines, Iowa) was censured and fined $75,000 and made restitution of [...]

Wells Fargo Advisors St. Louis Fined and Required to Revise Written Supervisory Procedures

Securities Lawyer2016-10-18T16:56:44+00:00July 15th, 2015|

Wells Fargo Advisors, LLC (CRD #19616, St. Louis, Missouri) was censured, fined $35,000 and required to revise its Written Supervisory [...]

Brookstone Securities Lakeland Florida Censured and Fined $1 Million and 3 Brookstone Brokers Fined and Barred by FINRA Over Sale of High-Risk CMO’s to Elderly

Securities Lawyer2016-10-18T16:56:44+00:00July 15th, 2015|

Brookstone Securities, Inc. (CRD #13366, Lakeland, Florida), Christopher Dean Kline (CRD #2597293, Baraboo, Wisconsin), David William Locy (CRD #4682865, Overland [...]

Hollywood Florida Broker Barred by FINRA for Alleged Conversion of 64 Year-Old Widow’s Funds

Securities Lawyer2016-10-18T16:56:45+00:00July 15th, 2015|

Florida-based Soreide Law Group obtained the following summary of information from FINRA's website under 'Disciplinary and Other FINRA Actions July, [...]

Tallahassee Broker Barred by FINRA for Misuse of Client’s Insurance Premium

Securities Lawyer2016-10-18T16:56:45+00:00July 15th, 2015|

William Oscar Hardy Jr. (CRD #1444999, Tallahassee, Florida) was barred by FINRA for allegedly misusing funds for a client’s insurance [...]

Puerto Rico’s OFS Securities, nka Oriental Financial Services Corp. Fined and Censured by FINRA for Failure to Produce Documents for a FINRA Arbitration

Securities Lawyer2015-07-15T12:35:34+00:00July 15th, 2015|

Soreide Law Group is currently representing investors nationally and internationally regarding Puerto Rican bond losses. If you've experienced investment losses [...]

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