How do I know if my broker is liable for my losses?

First, you need to decide if your loss is attributable to a 'Market Loss' (the same decline as the general market percentage) or is something greater. Suitability is also important as a deciding factor because a retiree, for example, should not be in risky investments. Further, failing to limit losses and excessive trading is also something that could lead to broker liability. Additionally, you may have a case based on misrepresentations and excessive leverage. There are many more ways you could have a claim besides what is mentioned here. If you have any questions please feel free to call Lars Soreide to discuss your case.

How to choose an attorney?

You should choose an attorney based on reputation, experience, past awards, responsiveness, and trust. If you have questions for Lars Soreide, Esq., he can discuss similar cases and what he has done to induce settlements and awards.

There is no fee if no recovery at Soreide Law Group. In addition, there are nominal forum fees for FINRA depending on your loss. However, there may be nominal travel expenses that come out of the settlement/award. If you have any concerns about fees please discuss them with us.

How do I commence an arbitration?

Filing a claim with FINRA is easy with Soreide Law Group, please contact us at your convenience.

Where is the hearing location?

The hearing location is typically at the FINRA hearing location nearest to where the investor lived at the time of the investment. However, this can be changed if agreed upon by all parties.

Does it matter that we are in different states?

No, we will travel to the hearing location that FINRA assigns. For instance, the vast majority of our clients are out of state. We allow the opportunity to call, email, fax, video chat, and share files electronically, in addition to traditional mail so it makes no difference where our main office is located. Our goal is to make it easy for you.

What is FINRA Arbitration?

The Financial Industry Regulatory Authority or FINRA is the binding dispute resolution forum that all securities disputes against brokers and brokerage firms are submitted. These arbitration are decided by a panel made up of typically 3 arbitrators who are knowledgeable in the area of securities laws and regulation. The U.S. Supreme Court decision, Shearson v. MacMahon, 482 U.S. 220 (1987) enforced mandatory binding arbitration clauses in the securities industry. One of the most important legal aspects is that arbitration awards are final and binding, subject to review by a court only on a very limited basis. FINRA used to be formerly known as the National Association of Securities Dealers or the NASD.

How do I commence an Arbitration?

TArbitrations begin by filing a statement of claim with FINRA’s headquarters, together with a submission agreement and the required fees. Prior to filing the Statement of Claim, in most cases, we will have an initial damage analysis performed by a forensic accountant. Depending on the nature of the case, a damage analysis may not be necessary..

How much does it cost to retain your firm?

We accept cases on a contingency fee basis meaning we do not get paid for our time. Rather, we only get paid in the event of a recovery.

In addition to securities cases what types of professionals do you represent?

We represent all Florida licensed professionals before the Department of Business and Professional Regulation, Department of Health, Florida Department of Banking and Finance, now the Florida Office of Financial Regulation, and attorneys. We also represent attorney applicants before the Florida Board of Bar Examiners and the Florida Bar Grievance Committee.

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Client Of IFG Files Dispute Involving Alternative Investments By Shim Plotkin Soreide Law Group is examining investor complaints concerning [...]

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Client Of First Allied Securities Files Dispute About Larry Boggs' Annuity Recommendations Investment loss recovery counsel at Soreide Law [...]

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Investor Dispute Concerns Tuan Ngo And VFG Securities New FINRA BrokerCheck disclosures concern securities broker Tuan Anh Ngo “Toon [...]

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Ian Ha Barred, Involved In AXA Investor Dispute

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Barred Securities Broker Ian Ha Involved In AXA Advisors Client Disputes The Financial Industry Regulatory Authority (FINRA) provides important [...]

Mike Conte Out At Fusion Analytics Amid FINRA Bar

Mike Conte Out At Fusion Analytics Amid FINRA Bar

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FINRA, SEC Take Action Against Mike Conte (Fusion Analytics) FINRA BrokerCheck indicates that investors alleged improper sales practices involving [...]

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Dudley Stephens Barred As Securities Broker

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Broker Dudley Stephens Sanctioned By FINRA, Involved In An Investor Dispute Soreide Law Group is reviewing investor complaints concerning [...]

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John Quinn Suspended As Securities Broker

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FINRA Suspends, Fines Securities Broker John Quinn Investment loss recovery counsel at Soreide Law Group provides you with new [...]

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Allstate Broker Jimmy Nunez Suspended By FINRA And Involved In Investor Dispute Soreide Law Group discusses disclosures on Jimmy [...]

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Morgan Stanley Clients Allege Damages In Disputes About Broker Jesus Rodriguez The Financial Industry Regulatory Authority (FINRA) provides important [...]

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FINRA Issues Suspension To Westpark's Richard Rappaport FINRA BrokerCheck indicates that investors alleged sales practice violations involving securities broker [...]

William Johnson Involved In Voya Investor Dispute

William Johnson Involved In Voya Investor Dispute

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Voya Client Alleges Misrepresentation By Securities Broker William Johnson Soreide Law Group is reviewing investor disputes concerning securities broker [...]

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Investor Alleges Sales Practice Violation In Dispute About Broker Mark Haenny Investment loss recovery counsel at Soreide Law Group [...]

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Broker Gregory Young Faces Alternative Investment Disputes From Voya Financial Clients FINRA BrokerCheck contains important disclosures on Gregory Scott [...]

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Client Files Investment Dispute About Jason Skyler (TKG, Kovack) FINRA provides important information in regard to securities broker Jason [...]

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