Complaints Filed Against Wells Fargo Brokers Joseph Esposito, Keith Keply Jr., Thomas Jackson Wells Fargo Clearing Services (CRD#: 19616, St. Louis Missouri), which also does business as Wells Fargo Advisors, is a brokerage firm and investment adviser firm regulated by Securities and Exchange Commission (“SEC”), Financial Industry Regulatory Authority (“FINRA”) and state securities regulators. Apparently, […]

Soreide Law Group is filing a FINRA arbitration on behalf of our clients against CAPITAL INVESTMENT GROUP, INC. for the sales of Hard Rock Partners Drilling Program losses with broker: CORT FREDERICK MEINELSCHMIDT (CORT MEINELSCHMIDT) (CRD#: 4757304) Soreide Law Group has successfully sued broker/dealers for selling the now defunct oil and gas investment, Hard Rock […]

Soreide Law Group has filed a claim in which an investor purchased an outside investment through his former financial advisor: HENRY ARTHUR TAYLOR III (also known as: HENRY ARTHUR TAYLOR, TREY TAYLOR) CRD#: 4641256 It is alleged that Taylor, while working as a registered representative with Cetera Advisor Networks, LLC of Springdale, Arkansas, allegedly recommended […]

ATTENTION INVESTORS: Carter Validus Mission Critical REIT Losses? Soreide Law Group is evaluating claims against brokers and financial advisors who may have made unsuitable recommendations for investors to buy Carter Validus Mission Critical REIT products. Carter Validus Mission Critical REIT Share Prices Drop Significantly In Estimated Value Apparently, Carter Validus (CV) has offered investors non-traded […]

Soreide Law Group Investigating KBS Strategic Opportunity REIT II Soreide Law Group is investigating potential claims on behalf of investors who bought KBS Strategic Opportunity REIT II because of the advice of their brokers or financial advisors. KBS Strategic Opportunity REIT II is a publicly registered non-traded real estate investment trust that concentrates in the […]

Soreide Law Group has filed two FINRA arbitrations on behalf of their clients against: FIRST ALLIED SECURITIES, INC. The clients claim an alleged lack of supervision and actions of their former broker/financial advisor, now deceased: WILLIAM MICHAEL ROBERTSON (AKA: MIKE ROBERTSON) (CRD#: 823461). William Michael Robertson was based in the Houston, Texas area.  Robertson was […]

INVESTOR ALERT: Virginia Regulator Alleges UBS Made Unsuitable Recommendations UBS Financial Services, Inc. (CRD#: 8174, Weehawken, New Jersey) is a brokerage and investment advisory firm regulated collectively by Financial Industry Regulatory Authority (“FINRA”), Securities and Exchange Commission (“SEC”) and state securities regulators. Apparently, regulators have sanctioned UBS a number of times for securities industry misconduct. […]

Soreide Law Group is currently investigating claims and sales practices of broker, ROBERT SCOTT SMITH (ROBERT SMITH) CRD#: 1412333 of Lake Oswego, Oregon.  Smith is currently registered with Concorde Investment Services since 2011. Soreide Law Group was contacted by a client of broker, Robert Smith, who was sold GBP Automotive. GBP Automotive Portfolio, LP is […]

UBS Discloses Misconduct Allegations Against Brokers Julian Gingold, Robert Shultz, Gayle Dilla UBS Financial Services (CRD#: 8174, Weehawken, New Jersey), which is FINRA registered brokerage firm and SEC registered investment adviser firm, has disclosed through FINRA BrokerCheck that several of its own employees allegedly engaged in misconduct harming UBS Financial Services customers. For example, take […]