Navigating the complexities of business and securities law requires precision, expertise, and a forward-thinking approach. At Soreide Law Group, we specialize in providing tailored legal solutions for companies, investors, and entrepreneurs across a wide range of services. Whether you are preparing financial disclosures or structuring innovative funding mechanisms, our team ensures compliance, clarity, and efficiency. […]

Understanding the Performance of B. Riley Financial's 5.25% Senior Notes Due 2028 (RILYZ) and Potential Financial Advisor Liability The 5.25% Senior Notes due 2028 issued by B. Riley Financial (RILYZ) were marketed as an attractive fixed-income investment, offering a consistent annual coupon of 5.25%. These notes gained attention from income-seeking investors but have faced significant […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker / financial advisor Ruben Javier Frezzotti [CRD: 4439983, Coral Gables, Florida]. Evidently, Ruben Frezzotti worked for Raymond James Associates Inc. from February 13, 2013, to October 10, 2023. Certain recent disclosures, including client disputes and an employment termination, have raised concerns regarding his conduct. […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Michelle Christine Stebbins (also known as Michelle Christine Gillespie) [CRD: 4156378, Southfield, Michigan]. Stebbins joined Stifel Nicolaus Company, Incorporated on May 18, 2018, and previously worked for Wells Fargo Clearing Services LLC from July 23, 2008, to May 23, 2018. Recently, client disputes have […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker / financial advisor Juan Manuel Rascon [CRD: 5631144, Katy, Texas]. According to his employment history, Rascon joined Cetera Investment Services LLC on March 8, 2019, and previously worked for BBVA Securities Inc. from May 16, 2013, to March 11, 2019. Investors have raised concerns […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Eric Scott Felsenfeld (also known as Eric Felsenfeld) [CRD: 4496689, Rockville, Maryland]. Eric Felsenfeld worked for Kingswood Capital Partners LLC from June 15, 2018, to November 3, 2023, and is currently registered with Ameriprise Financial Services LLC as of October 16, 2023. Recently, Felsenfeld […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Christopher Barrett Reynolds [CRD: 5976029, Canonsburg, Pennsylvania]. Reynolds worked for Pruco Securities LLC from September 2, 2021, to January 24, 2023, and Wesbanco Securities Inc. from May 5, 2017, to March 5, 2021. Recent client disputes and regulatory actions about Reynolds involve allegations of […]