Leif Soreide

About Securities Lawyer

This author has not yet filled in any details.
So far Securities Lawyer has created 1193 blog entries.

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 [...]

12 Next