Broker Jeffrey Broten Barred For Refusing To Comply With Investigators The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of sales practice violations by securities broker Jeffrey A. Broten (CRD#: 1006678, Morristown, New Jersey). Broten has worked for National Securities Corporation, First Standard Financial Company and Newbridge Securities Corp. Recently, FINRA barred Broten as a […]

Soreide Law Group has filed a FINRA arbitration on behalf of their clients (Claimants) against, COMMONWEALTH FINANCIAL NETWORK (Respondent). The Claimants reside in Massachusetts and were referred to COMMONWEALTH FINANCIAL NETWORK broker, Joseph Anthony Leonczyk, on or about 2014. The Claimants have put off taking full retirement due to the alleged losses they incurred of […]

Soreide Law Group has filed lawsuits representing our clients who invested in the non-traded REIT, Watermark Lodging Trust Inc., recommended for purchase by their broker/dealers or financial advisors and have suffered significant losses. Watermark Lodging Trust Inc. is a publicly registered, non-traded real estate investment trust that invests in, manages, and seeks to enhance the […]

Concorde Broker Robert Smith Allegedly Sold Bad GPB Investments Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Robert Scott Smith (CRD#: 1412333, Newberg, Oregon). Evidently, Smith worked for securities firm Concorde Investment Services LLC from 2011 to 2020. Namely, clients indicate that Smith might have caused their […]

Morgan Stanley Clients Indicate Laurence Braunstein Sold Unsuitable Investments Soreide Law Group is reviewing potential investor claims against securities broker Laurence Michael Braunstein (CRD#: 1220577, New York, New York). Notably, clients of Braunstein’s brought disputes alleging that he engaged in sales practice violations. It is possible that Braunstein sold investors unsuitable securities. Here’s more. Morgan […]

Madison Avenue Securities Clients Take Aim At Jim Geake Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports through BrokerCheck that investors brought complaints or lawsuits in regard to securities broker James “Jim” Andrew Geake (CRD#:2629008, Skokie, Illinois). Notably, investors brought eight disputes, at least half of which are from 2018 or later. If these […]

Investors Suggest Losses Caused By Rita Mansour The investment loss lawyers at Soreide Law Group are reviewing possible investor disputes against Rita Mansour (CRD#: 1968418, Toledo, Ohio). Namely, Mansour is a securities broker and financial advisor for McDonald Partners LLC. Evidently, four investors contend that their losses are attributable to Mansour’s sales practice violations. Here’s […]

A FINRA arbitration has been filed on behalf of the Claimant against: WELLS FARGO CLEARING SERVICES, LLC. (Respondent) The Claimant is retired and living in Maryland. The lawsuit states that the Respondent’s former Financial Advisor, HERBERT LEE WEITH IV (Herbert L Weith), allegedly advised the Claimant that he had developed a financial plan to provide […]

Soreide Law Group, a Florida-based law firm, has been contacted by investors who may have experienced losses in GPB Capital due to the recommendations of broker/investment advisor: DAVID JON ZUPEK (CRD#: 2250376) Currently, DAVID JON ZUPEK is registered, both as a broker and financial advisor with CONCORDE INVESTMENT SERVICES, LLC, and CONCORDE ASSET MANAGEMENT, LLC, […]