Soreide Law Group is investigating claims on behalf of investors regarding financial advisor, AUSTIN RICHARD DUTTON JR (CRD #2739167), formerly of Newbridge Securities Corporation (based in Boca Raton, Florida).  Allegedly, Austin Dutton Jr.  recommended unsuitable non-traded real estate investment trusts (REITs) to clients. The lawyers representing retired Philadelphia police and firefighters plan to file additional […]

On February 16, 2018, a FINRA arbitration panel awarded $121,659.80 in favor of a retired farmer (Claimant) from Minnesota against Wells Fargo Advisors Financial Network, LLC. The Claimant alleges that he opened an account with Wells Fargo in January of 2009 after receiving a cold call from broker, ADAM THOMAS MARQUARDT (CRD#: 5307192), from a […]

The following information was obtained from FINRA’s February 2018 Disciplinary Report by Soreide Law Group:  Jed Edward Tinder (CRD #1013144, Oshkosh, Wisconsin)  was barred by FINRA for allegedly refusing to provide information and documents requested by FINRA during the course of an ongoing examination into whether he conducted outside business activities, participated in private securities […]

The Financial Industry Regulatory Authority Inc. (FINRA) awarded five UBS Financial Services’ clients more than $521,000 in compensatory damages in a case related to the clients' investments in Puerto Rican bonds and closed-end bond funds. The clients are all residents of Puerto Rico.  They claimed that UBS violated the Puerto Rico Uniform Securities Act and […]

AFinancial Industry Regulatory Authority (FINRA) arbitration panel awarded the client of CHRISTOPHER DUKE BENNETT (CRD#: 2510231), a broker with J.J.B. Hilliard, W.L. Lyons of Louisville, Kentucky, $445,000 in compensatory damages. The FINRA award was an additional $195,000 than what the client had sought in compensatory damages, but less than the final damage request for a […]

Soreide Law Group, based in South Florida, obtained the following information from the February, 2018, Disciplinary Report from FINRA: Jermaine Doral Joseph (CRD #6056737, Miami Gardens, Florida) was barred by FINRA for allegedly serving as a personal representative in two wills executed by a client, and served as a representative payee for a non-client with […]

Soreide Law Group, based in South Florida, obtained the following information from the February 2018 Disciplinary Report:  Investacorp, Inc. (CRD #7684, Miami, Florida) was censured and required to provide FINRA a plan to remediate eligible clients who qualified for, but did not receive, the applicable mutual fund sales-charge waiver. As part of this settlement, the […]

THOMAS TIRRELL RIQUIER CRD#: 400088, a financial advisor from Gloucester, Massachusetts, was charged April 14, 2018, with violating the Massachusetts Uniform Securities Act by Secretary of the Commonwealth. His employer, United Planners Financial Services of America, is charged with failure to supervise its agent. Thomas T. Riquier has been accused of a real estate scheme […]

Soreide Law Group obtained the following information from the January, 2018 FINRA Disciplinary Report: Bruce A. Lefavi Securities, Inc. (CRD #10684, Salt Lake City, Utah)  was censured and fined $25,000 for allegedly preparing four retail communications and distributing them to numerous clients containing content that pertained to Real Estate Investment Trusts (REITs) and/or Business Development […]