If you invested in Silicon Valley Bank (SVB) preferred bonds and lost money, you may be entitled to compensation. SVB filed for bankruptcy in March 2023, and investors who lost money as a result of the bankruptcy may be able to bring a claim before the Financial Industry Regulatory Authority (FINRA). What are SVB preferred […]

If you invested in First Republic Bank preferred stock and lost money, you may be entitled to compensation. First Republic Bank filed for bankruptcy in March 2023, and investors who lost money as a result of the bankruptcy may be able to bring a claim before the Financial Industry Regulatory Authority (FINRA). What is First […]

If your financial advisor recommended Silicon Valley Bank perpetual preferred stock you may be able to recover some or all of your losses. The Financial industry Regulatory Authority or “FINRA” offers a dispute resolution forum where investors can file claims in arbitration against their financial advisors who may have sold them unsuitable investments. Many seniors […]

Soreide Law Group is investigating possible investor claims against securities broker Arthur Grossbard (also known as Artie Grossbard) (CRD: 1020971, West Orange, New Jersey). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Royal Alliance Associates Inc. Evidently, investors allege sales practice violations […]

Soreide Law Group is investigating possible investor claims against securities broker Rosemary Vrablic (CRD: 4359776, New York, New York). Notably, FINRA sanctioned the securities broker, who worked for Deutsche Bank Securities Inc. Allegedly, Vrablic failed to respond to FINRA’s request for information. Here is a brief summary of FINRA’s allegations against Vrablic. Vrablic Sanctioned By […]

Soreide Law Group is investigating possible investor claims against securities broker Bobby Sullins (CRD: 4173425, Pell City, Alabama). Notably, FINRA sanctioned the securities broker, who worked for BBT Securities LLC. Allegedly, Sullins failed to respond to FINRA’s request for information. Here is a brief summary of FINRA’s allegations against Sullins. FINRA Sanctions Sullins For Failure […]

Soreide Law Group is investigating possible investor claims against securities broker Chris Stocks (CRD: 2600346, Scottsdale, Arizona). Evidently, Morgan Stanley terminated the securities broker for cause. Here is a brief summary of the allegations against Stocks. Morgan Stanley Disaffiliates With Stocks For Outside Business Activities Supposedly, on November 11, 2021, Morgan Stanley disaffiliated with Stocks. […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Jason Nicholas Slezak (CRD: 2423323, Antioch, Illinois). Evidently, investors disputed the sales practices of the securities broker, who worked for Landolt Securities Inc. Additionally, the securities broker discloses a regulatory enforcement action. However, Slezak denies the allegations of misconduct Read on to learn […]

Soreide Law Group is investigating possible investor claims against securities broker Matthew Shaughnessy (CRD: 2457058, Henderson, Nevada). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Ameriprise Financial Services LLC. Evidently, investors allege sales practice violations in these disputes, including that Shaughnessy engaged […]