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 […]

Soreide Law Group is conducting an investigation into WESTERN INTERNATIONAL SECURITIES, INC. of Pasadena, California, financial advisor, KAREN TRAN CHUNG (KAREN CHUNG). According to FINRA’s  BrokerCheck, KAREN CHUNG, has been in the securities industry for 20 years and has been listed with 4 firms.  She is currently listed with, WESTERN INTERNATIONAL SECURITIES, INC., 70 S. […]

According to a recent article in Wealth Management, Stifel will pay over $400,000 to settle FINRA disciplinary charges that the firm allegedly did not properly supervise one of their registered representatives who misappropriated over $100,000 from an elderly client. Stifel agreed to the penalties without admitting or denying FINRA’s findings. In addition to a $400,000 penalty, Stifel […]

JAYSON R POCIUS, a former broker with Wells Fargo Advisors Financial Network, LLC of Arlington Heights, IL, who was registered with Wells Fargo from 2019 through June of 2023, was barred from the securities industry by FINRA on March 8, 2024, after he failed to cooperate with an investigation by the Financial Industry Regulatory Authority […]