Suffered Halcon Resources Corporation (NYSE: HK) Losses? Soreide Law Group is reviewing brokers’ and financial advisors’ investment recommendations regarding Halcon Resources Corporation (NYSE: HK). Halcon is an independent energy company that focuses on acquiring, producing, exploring and developing liquids-rich assets that. Apparently, the company operates in North Dakota, Three Forks, Bakken and the Delaware Basin. […]

HSBC Securities Terminates Robert Fortune, Matthew Riez, Anita Bali HSBC Securities (USA) Inc. is a brokerage firm (CRD#: 1985) regulated by Financial Industry Regulatory Authority (“FINRA”) and investment adviser firm (SEC#: 801-64563,8-41562) regulated by Securities and Exchange Commission (“SEC”). Apparently, on FINRA BrokerCheck, the firm has been in sixty regulatory events and seven arbitrations pertaining […]

Soreide Law Group Investigating Memorial Production Partners (NASDAQ: MEMP) Soreide Law Group is evaluating possible claims against stockbrokers and financial advisors who may have recommended Memorial Production Partners (NASDAQ: MEMP) to investors. Memorial Production Partners, prior to filing bankruptcy, focused on acquiring, producing and developing United States based oil and gas companies. Specifically, Memorial Production […]

Soreide Law Group is investigating GPB Capital Holdings LLC (GPB) and/or several of the independent broker/dealers who sold GPB private placements. GPB Capital Holdings, LLC (GPB) is a New York-based alternative asset management firm focusing on acquiring income-producing private companies from various industries including automotive, waste management, and middle market lending. In December of 2018, […]

Soreide Law Group is investigating claims on behalf of investors who were sold American Realty Capital Finance (AFIN) by former CETERA INVETMENT SERVICES, LLC, broker, DENNIS ALLEN REEVE (CRD#: 1603350). Reeve was employed by Cetera for nearly 12 years and worked in the Lake City Bank branch office in Warsaw, Indiana. According to FINRA’s BrokerCheck, […]

GMS Group’s Paul Mante Allegedly Misrepresented Bonds Paul David Mante (CRD#: 4911949, Boca Raton, Florida) is a GMS Group LLC securities representative with a number of customer complaints on his record. Specifically, Paul Mante disclosed through Financial Industry Regulatory Authority (FINRA) that at least 8 GMS Group LLC customers have complained about his sales practices. […]

Dawson James’ Peter Ruggiere Allegedly Made Unsuitable Trades Peter George Ruggiere (CRD#: 2248318, Boca Raton, Florida) has been a Dawson James Securities Inc. broker since February 6, 2008. Investors should be concerned that Peter Ruggiere has disclosed on his FINRA BrokerCheck profile that customers of Dawson James Securities, Inc., Josephthal & Co., Inc., and Newbridge […]

Moloney Securities’ David Todd Phillips Terminated For Outside Business Activities Moloney Securities’ David Todd Phillips Terminated For Outside Business Activities   David Todd Phillips (CRD#: 3094195, Gilbert, Arizona), is a prior securities broker for Moloney Securities Co., Inc. According to Financial Industry Regulatory Authority (“FINRA”) BrokerCheck, there are two disclosures about his alleged misconduct. Particularly, […]

Frank Dietrich Ponzi Scheme Frank Dietrich, broker at Quest Capital Strategies, was barred by FINRA for selling fake notes in a real estate Ponzi scheme.  Woodbridge Group filed for bankruptcy last year.  Frank Dietrich sold investors $10.8 million worth of promissory notes related to real estate holdings.  Frank Roland Dietrich used his 23 years of […]