Losses From Richard Ewing? FINRA BrokerCheck reports troubling allegations of sales practice violations from Ameriprise Financial Services securities representative Richard Ewing (Dickie Ewing) (CRD#: 3189321, Palm Beach Gardens, Florida). Notably, the securities broker, who joined Ameriprise Advisor Services Inc. in 2005 and transitioned to Ameriprise Financial Services in 2009, reports 4 client disputes and 2regulatory […]

Losses From Lance Ziesemer? Soreide Law Group is investigating possible claims of excessive trading and unsuitable trading by Feltl & Company securities broker Lance Ziesemer (CRD#: 2342087, Wayzata, Minnesota). Notably, Ziesemer reports on FINRA BrokerCheck that at least 14 clients brought complaints or arbitration claims about his sales practices. It appears from those investor claims […]

CRAIG ZABALA Barred By FINRA The Financial Industry Regulatory Authority (“FINRA”) announced that it barred John W. Loofbourrow Associates broker Craig Zabala (CRD#: 2740680, New York, New York). Apparently, Zabala, who worked for John W. Loofbourrow Associates from February 7, 2015 to April 29, 2019 in the capacity of an investment banking representative, operations professional, […]

Sanchez Energy Corporation (SNECQ) and certain of its subsidiaries have received interim approvals from the U.S. Bankruptcy Court for the Southern District of Texas related to the voluntary Chapter 11 petitions filed on Aug. 11, 2019. According to the Houston Chronical, Sanchez Energy Corporation (SNECQ), a Houston oil company that was once one of the […]

Did ALLAN MONTALBANO Excessively Trade Your Account? Soreide Law Group is evaluating possible investor claims against Worden Capital Management and National Securities Corporation broker and financial advisor Allan Montalbano (CRD#: 4507029, Garden City, New York).  Notably, at least 14 clients of Montalbano disputed his sales practices, and all but 3 disputes have settled through payments […]

MARIONDY FERNANDEZ Sell You Bad Bonds? The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations against prior Santander Securities broker Mariondy Fernandez (CRD#: 2391134, Dorchester, Massachusetts). Namely, the securities broker, who worked for Santander Securities from 2005 to 2016, discloses that 32 clients took issue with his sales practices. Here’s a summary of some recent […]

Losses From VII Peaks Co-Optivist Income BDC II? Did you invest in VII Peaks Co-Optivist BDC II because of your broker or financial advisor? Apparently, this non-diversified closed-end company, which elects to be treated as a business development company (“BDC”), invests in equity-linked debt securities and discounted corporate debt securities of private and public companies, […]

Soreide Law Group has filed a FINRA arbitration on behalf of their client (Claimant) against: INDIANA SECURITIES, LLC, & their registered representative, FRANK NEESE (Respondents).  The Claimant is a 79 year-old retiree from Indiana currently living in Florida. The lawsuit alleges that the Claimant was looking for a moderate to low risk investment strategy to […]

Did Your Broker Or Advisor Sell You SMARTSTOP SELF STORAGE REIT? Soreide Law Group is reviewing possible investor claims against brokers or financial advisors who may have inappropriately recommended SmartStop Self Storage REIT Inc. (f/k/a Strategic Storage Trust II). Evidently, the board of directors of this non-traded REIT, which focuses on “stabilized self-storage facilities and […]