Soreide Law Group, based in Florida, obtained the following information on the Florida broker, formerly with FSC Securities Corporation, of Winter Haven, Florida, from FINRA’s January 2022 Disciplinary Report: Brian Stanley Pearce (CRD #1334784, Winter Haven, Florida) On November 2, 2021 an Acceptance, Waiver and Consent (AWC) was issued in which Brian Stanley Pearce was […]

Aegis Capital Clients Allege Sales Practice Violations By Dennis Herrera The Financial Industry Regulatory Authority (FINRA) contains important information concerning securities broker Dennis Daniel Herrera (CRD#: 4618370, Miami, Florida). BrokerCheck shows that Herrera has worked as an Aegis Capital Corp. securities broker since March 2016. He also worked for firms including Blackbook Capital and Hunter […]

Soreide Law Group, based in Pompano Beach Florida, has obtained the following information from FINRA’s Disciplinary report from January of 2022. CAROLINE MOHAN (CAROLINE REYES, CRD#: 2429577, West Palm Beach, Florida) has been barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm. On November 22, 2021, an Acceptance, Waiver, […]

BBVA's Lori Welborn Facing Disputes From BBVA Clients About Variable Annuity Sales The Financial Industry Regulatory Authority (FINRA) contains important information concerning the disputes involving securities broker Lori Ann Welborn (AKA Lori O’Bier and Lori Boland) (CRD#: 2344775, Richardson, Texas). It appears on BrokerCheck that six investors disputed Welborn’s sales practices, with one or more […]

Thrivent Broker Nicholas Baecker Sanctioned By Oregon Division Of Financial Regulation, FINRA Soreide Law Group comes to you with important information regarding securities broker Nicholas Gregory Baecker (CRD#: 5618205, Portland, Oregon). Specifically, the Financial Industry Regulatory Authority (FINRA) and the Oregon Division of Financial Regulation sanctioned Baecker. Not only that, but one of Baecker’s clients […]

Soreide Law Group is currently investigating claims that investors have made against brokers/financial advisors who made recommendations to purchase GWG L Bonds. The L bond was a specialty high-yield bond created and issued by GWG Holdings (GWGH) from 2012 through 2021.  This bond was a private placement. The L bond financed the purchase of life […]

Oil Investments are back in style and possibly setting up for another crash Oil and gas sponsored drilling programs raised almost $300 million dollars in 2020. New drilling projects are taking place across various geological basins from places like the Permian, eagle ford, shale, Illinois basins. The main sponsors of these oil drilling programs are […]

The Securities and Exchange Commission (SEC) has charged GERMAN NINO, a former broker and investment advisor for UBS Financial Services Inc., of Coral Gables Florida, with stealing $5.8 million from a client. According to the January 24, 2022, SEC complaint, the allegations against GERMAN NINO, of Weston, Florida, were that he allegedly stole the investment […]

According to FINRA’s BrokerCheck, available to the public on FINRA’s website, John Edward Dalby (JOHN E DALBY, JOHN DALBY CRD#: 6108863), currently listed with HENNION & WALSH, INC. of Parsippany, New Jersey, had a “Customer Dispute” filed against him when he was listed with FIRST STANDARD FINANCIAL COMPANY LLC, of Staten Island, New York. The […]