Soreide Law Group, based in Pompano Beach, Florida, has been investigating the former Merrill Lynch, Boca Raton, Florida broker/investment advisor, ISAIAH THOMAS WILLIAMS JR, (ISAIAH T WILLIAMS JR, ISAIAH T WILLIAMS). Williams worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INC in Boca Raton from 2017 until his “voluntary resignation” in December of 2024. The […]

Soreide Law Group has been contacted by former customers of EDWARD ERIC FERNANDEZ (EDWARD E FERNANDEZ) who purchased DSTs. Fernandez is currently a broker with CAPULENT LLC of Irvine, California since October of 2017. In addition to the DSTs listed below the DSTs that were also brought to our attention are, Pheonix SFR, and Hayworth Tanglewood. […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: WESTPARK CAPITAL, INC., and their former registered representative, DAVID BERNARD LEVINSON (DAVID B LEVINSON) (Respondents). The Claimant is retired and living in Los Angeles, California. On or about November of 2019, as the Claimant was nearing retirement, he liquidated a […]

LINCOLN LUCAS MASON (LINCOLN L MASON) formerly of Edward Jones of Arnolds Park, Iowa, from 03/29/2019 - 12/23/2021, was suspended for 90 days and fined $5,000.00 by FINRA. Mason was previously registered both as an investment advisor and as a broker.  According to the FINRA report, without admitting or denying FINRA’s findings, LINCOLN L MASON […]

JOHN STEPHEN PRONOVOST (JOHN S PRONOVOST) was previously listed as a broker with OSAIC INSTITUTIONS INC of Watertown, Connecticut from 02/26/2021 - 08/05/2025. Pronovost was listed with CAMBRIDGE INVESTMENT RESEARCH INC of Watertown, Connecticut from 02/29/2008 - 03/02/2021 According to FINRA’s BrokerCheck, available to the public on FINRA’s website, JOHN S PRONOVOST has 35 years […]

GWG L Bond investors who have received notice of the $50,950,000.00 proposed class action settlement should understand the math involved in arriving at this number.  According to the class action notice, this proposed settlement provides an estimated investment recovery of approximately $30.46 per $1,000.00.  In other words, this will be a fraction of the original […]

DAVID KITCHEN FRANKLIN (DAVID K FRANKLIN) was permanently barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm on 10/21/2025.  Franklin was formerly registered as a broker with INTEGRAL WEALTH SERVICES LLC of New York, NY from 08/06/2018 - 06/09/2025. According to the FINRA report, without admitting or denying FINRA’s […]

Soreide Law Group, PLLC At Soreide Law Group, we help investors, shareholders, and publicly traded companies navigate the complex federal rules governing the resale of restricted or control securities. Our attorneys understand that clearing restrictive legends and ensuring compliance with Rule 144 or other resale exemptions can be time-sensitive and critical to protecting shareholder rights. […]

AEGIS CAPITAL CORP, with its main office located in New York, was censured, and fined $275,000.00 according to the FINRA report dated October 17, 2025. A recent article from FNG, states that since 2019, AEGIS CAPITAL CORP has paid several million dollars to its corporate parent. Allegedly, Aegis recorded the payments in its general ledger […]