According to a recent article in InvestmentNews, the Financial Industry Regulatory Authority Inc. (FINRA) recently barred, ANDREW JOSEPH EGBER, a former Wells Fargo Advisor broker from Maryland. Egber was accused of alleged theft by his former employer. According to the article, Egber was not barred from the securities industry for any theft allegations but he […]

Soreide Law Group is investigating possible losses incurred by current and past clients of GREGORY GASTON GIBSON (Greg Gibson).  Gibson is currently registered with, DEMPSEY LORD SMITH, LLC, 439 CONGAREE ROAD, GREENVILLE, SOUTH CAROLINA, and has been with this firm, registered both as a broker and financial advisor since 2012. According to FINRA’s BrokerCheck, available […]

Under the federal securities laws, a company may not offer or sell securities unless the offering has been registered with the SEC or an exemption from registration is available – also known as a private placement or an unregistered offering. One of the benefits to an exempt offering is not going through the time and expense of registering […]

TriLinc Global Impact Fund LLC focuses on impact investing, which means giving loans to Small and Medium Enterprises (SMEs) in developing countries. Investor Concerns About TRLC At first, the idea of making money and helping society sounded great. But things haven't gone well for TriLinc Global Impact Fund LLC. By September 30, 2023, the value […]

MacKenzie Realty Capital Inc. (MKZR), a publicly registered non-traded real estate investment trust (REIT), made headlines with its decision to pursue a listing of its common stock on the OTCQX, with aspirations for a future listing on the NYSE-American. This news comes as the company suddenly stops its programs for reinvesting dividends and buying back […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Michael Raymond Frager [CRD: 1230622, Winneconne, Wisconsin], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Frager worked for Willow Cove Investment Group Inc. since April 27, 2020, and for Balboa Wealth Partners Inc. since November […]

According to the US Attorney’s Office of the District of Massachusetts’ press release, Jose D Rocha, 38, of Bridgewater, Massachusetts, was sentenced by the US District Court Judge to two years in prison and three years of supervised release. The Court also entered an order of forfeiture for $774,737. In September of 2023, Jose Rocha […]

The South Florida Securities Law Firm, Soreide Law Group, recently obtained an award on behalf of their client (Claimant) relating to the failed private placement investment in Mega Block Chain. The Claimant was seeking compensatory damages for the financial loss, and the 3 member FINRA Arbitration Panel awarded the Claimant the majority of the compensatory […]

Securities law is critical to any company that may be seeking financing. Over their lifespan, every start-up company will likely raise money from investors, especially at its inception or during its growth phase. Many start-up companies require consistent capital infusion in order to sustain their growth, in which case the counsel of a Securities Lawyer […]