The South Florida-based law firm, Soreide Law Group, obtained the following information on Miami broker, LORENZO C ESTEVA, on FINRA’s website. On September 11, 2017, LORENZO C ESTEVA CRD#: 2170595, was barred from acting as a broker or otherwise associating with firms that sell securities to the public by the Financial Industry Regulatory Authority Inc. […]

Soreide Law Group has filed several FINRA arbitrations on behalf of our clients against brokers/dealers who have recommended high-risk oil and gas stocks to investors who have conservative portfolios causing devastating losses to their irreplaceable retirement funds. ABRAHAM HEIMANN CRD#: 1315922, a broker formerly with Oppenheimer and Cetera Advisors in the Atlanta, Georgia area, had yet […]

The SEC has obtained an order to freeze the assets of a former LPL Financial broker who allegedly misappropriated $2.8 million from her clients.  SONYA D CAMARCO (Also known as:  SONIA D FATCHETT, SONYA D FATCHETT, SONYA D FATCHETT-CAMARCO) CRD#: 2427529 According to the SEC, Camarco allegedly took the money from her clients over a […]

Soreide Law Group, based in Pompano Beach, Florida, obtained the following information from FINRA’s Disciplinary Report, August, 2017, which is available to the public on FINRA’s website:  Larry Charles Wolfe (CRD #502361, Boca Raton, Florida) (also known as:  LARRY C WOLFE, LARRY WOLFE, LARRY CHARLES WOLFINGER, LARRY WOLFINGER) was fined $5,000 and suspended by FINRA […]

Soreide Law Group is currently investigating the Raymond Montoya/ RMA Strategic Opportunity Fund LLC Ponzi scheme. The Boston-area hedge fund manager, 69 year-old, Raymond Montoya, who had managed the RMA Strategic Opportunity Fund LLC, since 2009, was arrested and charged on August 2, 2017, by federal prosecutors with running a Ponzi scheme. In a court […]

Soreide Law Group obtained the following information from FINRA’s August 2017 Disciplinary Report, available to the public on FINRA’s website.  Hilltop Securities Independent Network Inc. (formerly known as: SWS Financial Services, Inc.) (CRD #17587, Dallas, Texas) and Douglas Lee Hodges (CRD 4253217, Celina, Texas) Hilltop Securities was censured, fined $40,000 and required to pay $5,329.75, […]

Soreide Law Group obtained the following information, which is available to the public, on FINRA’s website under, “Disciplinary and Other FINRA Actions, August 2017.” Mark Charles Koehler (CRD #2873947, Chadds Ford, Pennsylvania) was barred by FINRA for the alleged refusal to produce FINRA-requested information and documents after FINRA began an investigation following receipt of a […]

Soreide Law Group, based in Florida, obtained the following information from FINRA’s website, which is available to the public, dated 8-18-17:  WILLIAM H MERRIAM IV (aka: WILL MERRIAM IV, WILLIAM H MERRIAM) CRD#: 5222110 The former Merrill Lynch broker, has been barred by FINRA for allegedly failing to appear for FINRA on-the-record testimony looking into […]

Soreide Law Group, a Florida-based law firm, obtained the following information from FINRA’s website, available to the public, under “Disciplinary and Other FINRA Actions, August 2017.”  Anthony Joseph Verzi (CRD #1186572, Melbourne, Florida) was barred from association with any FINRA member in all capacities for allegedly refusing to appear for FINRA-requested on-the-record testimony during the […]