Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: WELLS FARGO CLEARING SERVICES, LLC (Respondent). The Claimant is a 90-year-old retiree, with dementia living in Ohio. He has no children and lives alone.   Unfortunately, the Claimant fell victim to a fraud that is commonly used to prey on […]

James Ryan Parascandola (James R Parascandola) was recently barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm with a start date of July 21, 2025.  Parascandola was last registered as a broker with PRUCO SECURITIES LLC of East Brunswick, New Jersey from 05/16/2022 - 05/21/2024. Before PRUCO, he was […]

Soreide Law Group has filed a FINRA arbitration on behalf of their client (Claimant) against: EMERSON EQUITY LLC, and their registered representative, JOSHUA DAVID CHAPIN (Respondents). The Claimant is married, retired, and living in California. The Claimant is no longer able to work due to health issues he has been dealing with for the past […]

Investors potentially experienced sales practice violations due to securities broker Joshua George Cox [CRD: 6137037, Centennial, Colorado], based on public information on FINRA BrokerCheck. Evidently, Cox has worked for Cambridge Investment Research Inc. and Cambridge Investment Research Advisors Inc. since August 12, 2024, and previously worked for LPL Financial LLC in Greenwood Village, Colorado, from […]

Madison Avenue Securities LLC has agreed to pay a fine of $125,000 as part of a settlement with the Financial Industry Regulatory Authority (FINRA) according to a recent article in FNG. Without admitting or denying FINRA’s findings, dated September 3, 2025, Madison Avenue Securities consented to the sanctions and to the entry of findings that […]

Soreide Law Group has been contacted by customers who were sold GWG L Bonds by former registered representative, MICHAEL ARTHUR SEBALD (MICHAEL A SEBALD, MIKE SEBALD). Sebald was a broker with LANDOLT SECURITIES INC of Oskosh, Wisconsin, from 01/15/2009 - 08/18/2023. According to FINRA’s BrokerCheck, MICHAEL A SEBALD is currently not listed with any firm.  […]

Soreide Law Group is investigating FINRA registered representatives who may have recommended an investment in Next Level Holdings and/or Yield Wealth Ltd.  If your broker/investment advisor or insurance agent recommended purchasing Next Level Holdings and/or Yield Wealth Ltd contact Soreide Law Group for a consultation with an experienced securities lawyer at no cost. In a […]

DANIEL MICHAEL ROPER (DANIEL M ROPER), according to a FINRA report dated 7/17/2025, was fined by FINRA $15,000.00, suspended for 2 years, and $80,747.00 in disgorgement over allegations that he allegedly engaged in profit sharing with a client who was a family member.  Roper was registered from 03/25/2019 - 09/15/2023 with CHARLES SCHWAB & CO […]

WILLIAM CHARLES BURKS II (BILL BURKS II, WILLIAM C BURKS II) is currently listed as a broker since 8/29/2000, and as an investment advisor since 11/8/2011, with CENTAURUS FINANCIAL, INC. of Flower Mound, Texas. Burks was recently fined and suspended by FINRA. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, WILLIAM C […]