Suffered Investment Losses From Ameriprise Broker Jason Tuberosa? Soreide Law Group is investigating potential claims on behalf of those who invested with Jason Richard Tuberosa (CRD#: 1277676, Sun City Center, Florida), who is a securities representative and supervisor for Ameriprise Financial Services, Inc. Jason Tuberosa commenced employment at Ameriprise Financial Services offices in Sun City […]

Misconduct Alleged Against Ameriprise Brokers Robert Caldwell And Stephen Tadlock Ameriprise Financial Services brokers Robert Alan Caldwell (CRD#: 1995182, Naples, Florida) and Stephen Christopher Tadlock (CRD#: 5746664, Houston, Texas) have reported troubling allegations on Financial Industry Regulatory Authority (FINRA) BrokerCheck about their activities in the securities industry. Those two brokers engaged in the type of […]

LPL Financial Terminates Phillip Boyd, Bernard Gann LPL Financial LLC (CRD#: 6413, Boston, Massachusetts) is a Financial Industry Regulatory Authority (“FINRA”) member brokerage firm. FINRA BrokerCheck shows that the firm terminated brokers including Bernard Wayne Gann and Phillip Dennis Boyd for violating the firm’s policies or possibly violating securities rules or regulations. Here is a […]

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. […]