The Financial Industry Regulatory Authority Inc. (FINRA) has barred JAMES F. ANDERSON (CRD#: 4803514), from acting as a broker or otherwise associating with a broker-dealer firm. Anderson, a former registered representative with Ameritas Investment Corp of Dakota Dunes, South Dakota, was barred following allegations that he failed to take part in an inquiry looking into […]

CHRISTOPHER CONNESS Sell You Unsuitable Investments? Soreide Law Group is investigating possible investor claims against G.F. Investment Services LLC and securities broker Christopher Conness (CRD#: 4778193, Fort Lauderdale, Florida). Namely, the firm is investigating whether Conness was negligent and failed to act in the best interests of his investor clients with respect to his alternative […]

THOMAS STUDER (Villages, Florida) Barred By FINRA Thomas Studer (CRD#: 6300308, The Villages, FL) is one of the latest securities brokers who the Financial Industry Regulatory Authority (“FINRA”) barred from the securities industry for attempts at thwarting a FINRA investigation. FINRA found Studer uncooperative when investigating his allegedly unauthorized activities. On May 20, 2019, Studer […]

Soreide Law Group was recently contacted by a former client of MICHAEL PACKMAN (CRD#: 2518120), who purchased multiple GPB Captial investments while Packman was with AXIOM CAPITAL MANAGEMENT, INC. of Westbury, NY. We are investigating possible claims against MICHAEL PACKMAN and the sale of GPB.  Packman is no longer registered as a broker or financial […]

WILLIAM KIELCZEWSKI Charged In FINRA Complaint On May 21, 2019, the Financial Industry Regulatory Authority (“FINRA”) Department of Enforcement brought a Complaint (Disciplinary Proceeding #: 2017054405401) against The Huntington Investment Company securities broker William Kielczewski (CRD#: 4034356, Toledo, Ohio). Notably, FINRA’s Department of Enforcement alleged Kielczewski violated FINRA Rules because he participated in private securities […]

On May 31, 2019, DAVID JOHN STRNAD CRD#: 1982721 was suspended by FINRA from acting as a broker following allegations that he executed unauthorized transactions involving bank-issued certificates of deposit (CDs) in accounts of an elderly client. The allegations, from September 2013 through December 2015, were while Strnad was registered with Morgan Stanley in Franklin, […]

ARSENAL ENERGY HOLDINGS LLC (“AEH”) LOSSES? Soreide Law Group is reviewing possible claims against stockbrokers and financial advisors who placed investors in Arsenal Energy Holdings LLC (“AEH”) (formerly known as Mountaineer Energy Holdings). AEH is the parent company of Arsenal Resources – a natural gas producer in Marcellus Shale. On February 4, 2019, Arsenal Energy […]

YIELD ENHANCEMENT STRATEGY (UBS YES) LOSSES? Soreide Law Group is evaluating possible claims against UBS on behalf of investors who purchased the UBS Yield Enhancement Strategy (“UBS YES”). Evidently, investors lost money from investing in the program, and investors are suing to recover their investment losses. UBS Allegedly Erroneously Markets Yield Enhancement Program As Conservative […]

BENJAMIN FRANK BOURGEOIS JR (BEN BOURGEOIS JR, BENJAMIN F BOURGEOIS JR) CRD#: 2145555, has been barred by the Financial Industry Regulatory Authority Inc. (FINRA), on May 28, 2019, from acting as a broker or otherwise associating with a broker/dealer firm for allegedly failing to provide FINRA with information in connection with an investigation into his […]