On June 14, 2019, the Financial Industry Regulatory Authority Inc. (FINRA) barred Patrick Foley (Patrick Neal Foley) CRD#: 6682164 from acting as a broker or otherwise associating with a broker-dealer firm. Patrick Foley, a former broker with MERRILL LYNCH, PIERCE, FENNR & SMITH, INC of Ontario, California was discharged from the firm in January of […]

JONES ENERGY INC. (OTC: JONE) LOSSES? Soreide Law Group is evaluating possible investor claims against brokers and advisors who sold investors Jones Energy, Inc. (OTC: JONE). Evidently this United States exploration and production company, who has been in the business for over 30 years, filed for a chapter 11 bankruptcy on April 15, 2019. Supposedly, […]

WEATHERLY OIL AND GAS LLC Losses? Soreide Law Group is reviewing possible investor claims against brokers and financial advisors who sold investors Weatherly Oil and Gas LLC. Evidently, Weatherly, an oil and gas acquisition and exploitation company, is private-equity backed and concentrates in the region of Texas, Louisiana and Arkansas. The company controls more than […]

Did you suffer losses due to the recommendations in the Woodbridge Group of Companies from the former broker, now barred by the Financial Industry Regulatory Authority, Inc. (FINRA), from Albertville, Alabama, FLOYD EARL POWELL (CRD#: 2220029) Two years ago the alleged $1.2 billion Ponzi scheme, the Woodbridge Group of Companies, collapsed creating devastating losses for […]

DREAMFUNDED MARKETPLACE LLC Losses? The Financial industry Regulatory Authority (“FINRA”) declared on June 5, 2019 that it expelled funding portal member DreamFunded Marketplace, LLC (“DreamFunded”) (CRD#: 283594). FINRA also barred its CEO and co-founder, Manuel Fernandez (CRD#: 6639970). Evidently, in an Extended Hearing Panel Decision #:2017053428201, FINRA’s Office of Hearing Officers found that DreamFunded and […]

The Financial Industry Regulatory Authority, Inc. (FINRA) has barred NINA SUE JESSEE (NINA JESSEE, NINA CAMPBELL JESSEE) CRD#: 1484808 from acting as a broker or otherwise associating with a broker-dealer firm. Jessee, resigned from Cetera Advisors of Abingdon, Virginia in November of 2017 following allegations of unauthorized outside business activity. According to FINRA, on June […]

Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CENTER STREET SECURITIES, INC. (Respondent) The Claimants, a married couple from Arizona, bring this action to recover financial losses they sustained allegedly due to the Respondent’s mishandling of the Claimants’ assets by failing to properly allocate and diversify Claimants’ retirement […]

JOHN PRONOVOST Misrepresent Your Investments? Soreide Law Group is looking into possible investment-loss related disputes on behalf of clients who invested with Cambridge Investment Research, Inc. securities broker John Pronovost (CRD#: 1990612, Watertown, CT). As the Financial Industry Regulatory Authority (“FINRA”) reports on BrokerCheck, Pronovost, who has been registered through the firm since February 29, […]

Broker, RON RAY WILLOUGHBY JR (CRD#: 2425926), formerly with Morgan Stanley of Tempe, AZ, currently with Kestra Investment Services of Venice, CA, was fined $5,000 by FINRA and was  suspended for three months, with starting date of July 1, 2019 and ending date, September 30, 2019. According to FINRA, allegedly, RON RAY WILLOUGHBY JR engaged […]