Soreide Law Group has been contacted by several investors who purchased oil and gas stock recommended by their brokers and have suffered devastating losses.  Often these losses are from retirement and conservative portfolios.  We are particularly interested in those brokers who may have recommended the following oil stocks: ATLAS GROWTH PARTNERS LP ATLAS RESOURCES OIL […]

IFG, Berthel Clients File Disputes About Shawn Davis' Alternative Investment Sales Soreide Law Group is looking into potential investor disputes against securities broker Shawn Bruce Davis [CRD#: 2911230, Auburn, California]. Notably, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that at least 10 clients took issue with the broker, who worked for Independent Financial Group, Berthel […]

Soreide Law Group has been contacted by clients and former clients, mainly from North Carolina, who sustained investment losses due to the alleged illiquid REITs purchased primarily at Kalos Capital of Belmont, North Carolina, through broker:  JOSEPH PATRICK ROOP (JOEPAT ROOP) CRD#: 2774470 According to FINRA’s BrokerCheck, available to the public on FINRA’s website, JOSEPH […]

Kentucky Regulator Sanctions Robert Clarke Investor Alert! The Financial Industry Regulatory Authority ("FINRA") reports alarming information in regard to securities broker Robert Steven Clarke [CRD#: 735940, Austin, Texas]. Not only has Kentucky Department of Financial Institutions sanctioned him for unauthorized trading, but 5 or more investors raised serious concerns about the securities broker, who joined […]

Oppenheimer's Eric Rosenberg Allegedly Made Bad Recommendations Soreide Law Group is investigating potential investor claims against securities broker Eric Brian Rosenberg [CRD#: 1027041, New York, New York]. Notably, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck reports that at least 5 clients contested the securities recommendations or sales of the securities broker, who joined Oppenheimer & Co. […]

Soreide Law Group has been contacted by investors who have purchased Real Estate Investment Trusts (REIT) and sustained losses through the recommendation of their broker/dealers or financial advisors.  Many of these investors were recommended purchasing these REITs by their LPL Financial brokers.  Due to the COVID-19, the Real Estate Indexes have dropped dramatically, between 10-40%.  […]

Broker Jon Lake Suspended By FINRA, Terminated By Wells Fargo Soreide Law Group is reviewing possible investor claims against securities broker Jonathan R. Lake [CRD#: 1385504, Westport, Connecticut]. Apparently, FINRA suspended the securities broker from November 11, 2019 to March 11, 2020. Not only that, but Wells Fargo Clearing Services terminated him and his clients […]

Disgraced Broker Paul Smith Involved In Investor Disputes Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of sales practice violations by securities broker Paul W. Smith [CRD#: 1070735, Wayne, Pennsylvania]. Smith worked for Bolton Global Capital between 2007 and 2017. Namely, at least 17 investors disputed the sales practices of the securities […]

Broker Gregory Pease Allegedly Made Unsuitable Trades, Churned Accounts Investors are coming forward with disputes about Gregory T. Pease [CRD#: 2416561, Hoboken, New Jersey]. Evidently, the securities broker, who associated with Merrill Lynch, Morgan Stanley, Wells Fargo and International Assets Advisory, reports a whopping 10 investor disputes on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck. Mainly, […]