WILLIAM ROBERTSON Give You Bad Investment Recommendations? Soreide Law Group is evaluating possible claims on behalf of investors who suffered losses by investing with First Allied Securities Inc. broker William Robertson (CRD#: 823461, Deer Park, Texas). According to the Financial Industry Regulatory Authority (“FINRA”) BrokerCheck, at least five clients complained about Robertson’s sales practices. Here’s […]

JEFFREY SCHWEBACH Suspended By FINRA The Financial Industry Regulatory Authority (“FINRA”) announced that it issued Independent Financial Group (“IFG”) broker Jeffrey Schwebach (CRD#: 1606537, Dell Rapids, SD) an 8 month suspension for selling away (engaging in securities transactions outside the scope of the broker’s employment). Notably, Schwebach submitted a Letter of Acceptance, Waiver, and Consent […]

DONALD FOWLER Liable For Securities Fraud The Securities and Exchange Commission (“SEC”) announced on June 20, 2019 that Donald Fowler (CRD#: 4989632, Syosset, New York) was found guilty of securities fraud. Notably, a jury returned a verdict in favor of SEC in Case #: 1:17-cv-00139. Here’s more on the SEC action against Fowler: SEC Charges […]

GPB Armada Waste Management Losses? Soreide Law Group is reviewing possible claims of unsuitability against brokers who sold investors Armada Waste Management LP. Evidently, alternative asset management company, GPB (New York, New York) issued more than $163,000,000 in Armada Waste Management securities. However, the fund’s approximate value now stands at just over $53,000,000. This 67% […]

MICHAEL BARNETT Sell You Unsuitable Investments? Have you invested with JJB Hilliard WL Lyons LLC general securities representative Michael Barnett (CRD#: 5792242, Marion, Illinois)? It appears from Financial Industry Regulatory Authority (“FINRA”) BrokerCheck that Barnett may have sold unsuitable alternative investments. Soreide Law Group is evaluating possible investor claims against Barnett given this information. Here […]

MICHAEL VETERE Losses? Investors are disputing the sales practices of TFS Securities Inc. general securities representative Michael Vetere (CRD#: 4275271, Bayside, New York), who registered through TFS Securities Inc. from April 28, 2016 to June 27, 2018. Notably, the Financial Industry Regulatory Authority (“FINRA”) shows on BrokerCheck that since February 12, 2018, at least three […]

GARRY SAVAGE Misrepresent Your Investments? Soreide law Group is reviewing possible investor claims against Wall Street Strategies securities broker Garry Savage Sr. (CRD#: 1195330, Huron, Ohio). Evidently, the Financial industry Regulatory Authority (“FINRA”) sanctioned the broker after Wall Street Strategies disaffiliated with him June 7, 2017. Particularly, FINRA suspended Savage August 16, 2018 for allegedly […]

STEPHEN WOOD Investigated BY FINRA The Financial Industry Regulatory Authority (“FINRA”) announced April 2, 2019 that it made a “preliminary determination” to recommend the Department of Enforcement discipline securities broker Stephen Wood (CRD#: 1308917, Warren, New Jersey). Evidently, Wood – a UBS Financial Services securities representative from August 12, 2013 to May 26, 2017 – […]

A jury ruled against broker, DONALD J. FOWLER (CRD#: 4989632), and in favor of the SEC recently in a Manhattan federal court.  Fowler was charged two years ago with excessive trading, while registered with the J.D. Nicholas & Associates of Syosset, N.Y. Allegedly, DONALD J. FOWLER engaged in an excessive trading scheme which was unsuitable […]