Broker Richard Brown Purportedly Suspended For Failure To Pay Arbitration Award Soreide Law Group is reviewing possible investor claims against broker Richard Lyndon Brown [CRD#: 3245291, Farmingdale, New York], who worked for securities firms Arive Capital Markets, Chelsea Financial Services and Brookstone Securities. Notably, Securities and Exchange Commission (“SEC”) and Financial Industry Regulatory Authority (“FINRA”) […]

Broker Brendan Shaw Allegedly Made Excessive, Unsuitable Trades Investor Alert! FINRA reports alarming information about Brendan Patrick Shaw [CRD#: 4721215, Scottsdale, Arizona]. Namely, Washington Securities Division sanctioned Shaw–a securities broker for Purshe Kaplan Sterling Investments (“PKS”) who also associated with Thomson Financial Advisors. Not only that, but at least 3 clients brought disputes about him. […]

Ameritas Clients Indicate Tommy Lawrence Misrepresented Investments Soreide Law Group is investigating potential investor claims of bad business practices by securities broker Thomas “Tommy” H. Lawrence III [CRD#: 1839619, Chapel Hill, Tennessee]. Notably, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck reports that 3 clients contested the securities recommendations or sales of the securities broker, who worked […]

Soreide Law Group obtained the following information from FINRA’s website located under, “Disciplinary and Other FINRA Actions, April 2020.” Jeffrey Scott Nimmow (CRD #2693601, Merrimac, Wisconsin) According to FINRA, an Acceptance, Waiver, and Consent (AWC) was issued in which Jeffrey Scott Nimmow was barred from association with any FINRA member in all capacities. Without admitting […]

Investors Indicate That Larry Fawcett Misrepresented Investments Soreide Law Group is looking into potential investor disputes against securities broker Lawrence “Larry” John Fawcett Jr. [CRD#: 5851474, Los Angeles, California]. Notably, Financial Industry Regulatory Authority (“FINRA”) sanctioned the securities broker 3 times between 2017 and 2019. Also, at least 8 clients brought complaints about Fawcett, and […]

Broker Roger Owens Allegedly Deceived Investors Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming information in regard to securities broker Roger Lee Owens [CRD#: 2359204, Elkton, Maryland]. Notably, at least 4 clients filed formal disputes about the securities broker, who worked for Cetera Advisors between 2007 and 2019. Also, FINRA issued him a […]

CHARLES LAWRENCE DORAINE (CHARLES DORAINE) CRD#: 70411, a former NEXT Financial Group broker from Corpus Christi, Texas, was barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm on April 27, 2020. According to FINRA, without admitting or denying FINRA’s findings, CHARLES DORAINE consented to the sanction and to the […]

Soreide Law Group has been contacted by clients who have suffered losses after their broker/dealers or financial advisors recommended purchasing Voya Natural Resources Equity Income Fund (IRR). Soreide Law Group has successfully defended numerous clients in oil and gas loss cases.  This fund has decreased over -40% YTD. Due to the COVID 19 global pandemic, […]

Soreide Law Group is representing our clients (Claimants) in a FINRA arbitration against: WINTRUST INVESTMENTS LLC (Respondent) The Claimants reside in Florida, are retired and they are disabled. The Respondent and their Financial Advisor, Cataldo Panici (Carlo Panici), allegedly understood that the Claimants did not want to take any unnecessary risks with their investments. The […]