FINRA Suspends Broker Brian Harte For Discretionary Trading Soreide Law Group provides you this update in regard to a problem securities broker by the name of Brian Joseph Harte (CRD#: 4780629, Alexandria Virginia). Notably, FINRA suspended the E1 Asset Management securities broker twice. Also, Harte is the target of four investor disputes. All together, these […]

Broker Rich Coleman Suspended By FINRA Again Soreide Law Group is examining whether to bring investor lawsuits against securities broker Richard James Coleman (CRD#: 2720422, Melville, New York). Specifically, Coleman is presently under a FINRA suspension for not paying a FINRA Arbitration Award. Not only that, but FINRA issued him a hefty two-year suspension along […]

Marshall Owen Isaacson, a former broker with Newbridge Securities of Boca Raton, Florida, was recently barred by FINRA for allegedly making unsuitable investment recommendations to his clients. According to FINRA, without admitting or denying FINRA’s findings, Marshall Owen Isaacson consented to the sanction and to the entry of findings that he allegedly refused to provide […]

Soreide Law Group files 11 FINRA arbitration claims against Mark Alan Cline and National Securities Corporation for sales of GPB Products. Eleven separate FINRA actions have been by Soreide Law Group against Mark Alan Cline (“Cline”) and National Securities Corporation (“NSC”) on behalf of multiple retirees living in the Villages, Florida. The lawsuits collectively claim […]

Private Offerings and REITs May Not Be Worth What You Paid IS YOUR BROKER LYING TO YOU ABOUT THE VALUE OF THE INVESTMENTS THEY SOLD? Brokers will always list the stated value from the sponsor of most REITS and private offerings they sold you since they don’t freely trade on any market. What most clients […]

Soreide Law Group is investigating claims made against the broker/financial advisor, formerly of MERRILL LYNCH, PIERCE, FENNER & SMITH INC. Greenwich, Connecticut, and currently with RBC CAPITAL MARKETS, LLC of Stamford, Connecticut: JOSEPH IJONG CHU (CRD#: 4546805) There was a claim filed recently against Merrill Lynch and RBC Capital Markets on behalf of investors seeking […]

Soreide Law Group is currently investigating potential claims made by investors who have contacted us alleging that WILLIAM COLIN SEIBERT, currently a broker and investment advisor with RAYMOND JAMES & ASSOCIATES, INC. in Louisiana, allegedly recommended they purchase large concentrations of the high-risk oil and gas stocks, Linn Energy and Memorial Production Partners LP (MEMP). […]

Investment Planners Broker Jim Parrelly Supposedly Caused Investors' Losses Investor Alert! Financial Industry Regulatory Authority (“FINRA”) shows that James “Jim” Anthony Parrelly (CRD#: 728368, Dearborn, Michigan) is a problem securities broker. Notably, there are 12 disclosures on Parrelly’s record which all suggest that he did something wrong. This includes not just investor complaints or lawsuits […]

On September 9, 2020, JODIE LANE (Also known as: JODIE GRUBER, JODIE PIKE) CRD#: 5069112, was fined $10,000 and suspended for four months by FINRA, for allegedly failing to follow her former firm’s (LPL Financial of Franklin, Wisconsin) policies on disclosing financial dealings with clients. Without admitting or denying FINRA’s findings, JODIE LANE consented to […]