FINRA Revokes James Lamont's Securities Registration Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming information in regard to securities broker James Marten Lamont [CRD#: 2846228, San Francisco, California], who worked for securities firms Independent Financial Group (2006 to 2015) and Whitehall-Parker Securities (2015 to 2019). Evidently, FINRA revoked Lamont’s registration on March 13, […]

Soreide Law Group is currently investigating claims on behalf of investors who have contacted us regarding losses in Nuveen All Cap Energy MLP Opportunities Fund (NYSE: JMLP) and Nuveen Energy MLP Total Return Fund (NYSE: JMF) through the recommendations of their broker/dealers or financial advisors. According to Yahoo Finance, Nuveen All Cap Energy MLP Opportunities […]

LPL Broker Don Woods Allegedly Recommended, Sold Unsuitable Alternative Investments Investors are voicing complaints about securities broker Donald “Don” Stephen Woods [CRD#: 727894, Louisville, Kentucky]. Apparently, the securities broker worked for LPL Financial LLC between July 1, 2010 and January 20, 2017 and then worked for Thurston Springer Financial from December 22, 2016 to August […]

SII Clients Indicate Broker Joel Weber Misrepresented Annuity Income Riders Soreide Law Group is investigating potential investor claims of misrepresentation against securities broker Joel Howard Weber [CRD#: 1717681, Sartell, Minnesota]. Evidently, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck reports that five clients complained about the broker, who associated with SII Investments from 2002 to 2017 and […]

FINRA Sanctions Broker David Fleming For Not Paying Customer Arbitration Award Investor Alert! FINRA reports alarming information in regard to securities broker David Wilson Fleming Jr. [CRD#: 1021968, White Plains, New York]. Notably, FINRA suspended Wilson twice. In addition, at least two investors raised serious concerns about the securities broker, who most recently worked for […]

FINRA Suspends Broker Brian Decker Soreide Law Group is investigating potential investor lawsuits against barred securities broker Brian Keith Decker [CRD#: 4565524, New York, New York]. Apparently, Decker associated with Worden Capital Management from 2017 to 2018. He also worked for Legend Securities from 2009 to 2016. Notably, FINRA barred the securities broker, and 11 […]

Have you experienced losses in Tortoise Energy Infrastructure Corporation (TYG) due to the recommendations of your broker/dealer or your financial advisor? Soreide Law Group is now conducting an investigation on behalf of investors who have contacted us due to losses from purchasing Tortoise Energy Infrastructure Corporation (TYG), a Master Limited Partnership (MLP) on the advice […]

Soreide Law Group has been contacted by investors who were allegedly sold unsuitable investments presented by broker, TRAWNEGAN GALL (CRD#: 6266415) currently registered with WEALTHFORGE SECURITIES, LLC of Orange, California. According to FINRA’s BrokerCheck, which is available to the public on FINRA’s Website, TRAWNEGAN GALL has three disclosures on his CRD report.  Two of the […]

MSI Financial Clients File Disputes About Gary Hammond Investors are alleging losses caused by securities broker Gary Wayne Hammond [CRD#: 2660432, Charlotte, North Carolina]. Evidently, MSI Financial Services, who Hammond worked for from 2000 to 2017, disaffiliated with him for allegedly selling away and [mis]handling a client complaint. Most significantly, Hammond is involved in 10 […]