SCOTT PATRICK KOZAK (SCOTT KOZAK) CRD#: 1272583, according to FINRA’s BrokerCheck, was discharged from Cetera Advisors LLC of Highlands Ranch, Colorado on July 23, 2018 following allegations of “Violating firm policy prohibiting Personal Securities Transactions.”  Scott Kozak worked as a registered representative with Cetera Advisors LLC in Highlands Ranch, Colorado, from 2001 until he was […]

Business Development Corporation of America (BDCA) Losses? Soreide Law Group is investigating possible claims on behalf of investors who purchased Business Development Corporation of America (BDCA). BDCA is a New York, New York based business development company making debt investments in middle-market companies. Soreide Law Investigating (BDCA) Losses? Business development companies (BDCs) are entities investing […]

Customer Files Suitability Complaint Against Summit Brokerage Soreide Law Group is investigating claims on behalf of customers who invested with David Charles Hill (CRD #818407, Port Orange, Florida). Hill was a registered representative of Summit Brokerage Services, Inc. who was discharged on November 16, 2017. Summit Brokerage Services alleged that Hill did not disclose the […]

LELAND BLAIR WHITING (BLAIR WHITING) CRD#: 465663 formerly with HORNOR, TOWNSEND & KENT, INC. of SALT LAKE CITY, UTAH, was one of dozens of financial advisors, stockbrokers, financial planners and insurance agents who are being named in a lawsuit as part of an alleged investment fraud that allegedly cost more than 1,000 investors, many retirees, […]

Raymond James Sued George Edward Mathis (CRD #4271854, The Villages, Florida) has been a registered representative of Raymond James & Associates, Inc. since November 18, 2011. His activities between January 24, 2014 and September 30, 2016 – a time he was employed by Raymond James – resulted in a customer-initiated investment-related arbitration dated May 2, […]

Capitol Securities Management Fined For Failing To Supervise Trading In Unit Investment Trusts Capitol Securities Management, Inc. (CRD #14169, Glen Allen Virginia) consented to being censured by Financial Industry Regulatory Authority (“FINRA”) and paying a $100,000 fine pursuant to a Letter of Acceptance, Waiver and Consent (“AWC”) #2017052215401 that was executed on May 25, 2018. […]

BRIAN LAWRENCE STEPHAN (Brian L. Stephan) CRD#: 4222796, a broker from Ohio, was accused by the Financial Industry Regulatory Authority (FINRA) of recommending and causing the execution of unsuitable investments for an 88-year-old client. The FINRA complaint alleges that Brian L. Stephan recommended that the elderly client invest in mutual fund Class A shares in […]

Soreide Law Group has been contacted by investors who purchased the following stock through their stock brokers/financial advisors at Securities America Inc or other brokerages:  Ferrellgas Partners, L.P. (NYSE: FGP) Ferrellgas Partners, L.P. (FGP), through its operating partnership, and subsidiaries, serves propane customers in all 50 states, the District of Columbia, and Puerto Rico, and […]

DAVID JAY HOMAN (DAVE HOMAN) CRD#: 1516973, a former Wells Fargo Advisors financial advisor in Bay City, Michigan was arraigned in Bay County District Court on one count of embezzlement of between $50,000 and $100,000.  Homan is facing a felony charge which could lead to a 15-year prison sentence.  DAVE HOMAN is due to appear […]