Soreide Law Group is currently investigating potential claims on behalf of investors who have sustained losses attributed to broker and financial advisor, Garrett Wayne Moretz [CRD: 4086791, Mooresville, North Carolina]. Moretz joined Lifemark Securities Corp. on May 31, 2017. His previous associations include First Heartland Consultants Inc., from January 2010 until May 2017, and First […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: ARKADIOS CAPITAL and their former registered representative, JAMES T WALESA (Respondents). The Claimant is representing a trust and living in Nevada.  The lawsuit alleges that ARKADIOS CAPITAL broker, JAMES T WALESA, recommended $200,000.00 to be invested into a speculative private […]

The Financial Industry Regulatory Authority (FINRA) has initiated disciplinary actions against STEWART GINN (also known as STEWART TAYLOR, PAXTON GINN JR.), a broker currently with INDEPENDENT FINANCIAL GROUP, LLC of Encinitas, California, according to a recent article in Financial Advisor IQ.  The article states that Ginn allegedly earned millions of dollars in commissions while causing […]

The Florida-based Soreide Law Group was recently contacted by a client of Florida broker/investment advisor, PHILIPPUS THEUNIS VAN STADEN (PHILIPPUS VAN STADDEN, PHILIP VAN STADEN), who was sold iCap Investments. Van Staden has been with GREEN VISTA CAPITAL, LLC of Winter Park, Florida since July of 2018. He was previously listed with The Strategic Financial […]

On September 5, 2023, KEVIN JOSEPH CARROLL, who was most recently with Wells Fargo and then LPL Financial, both of Glastonbury, Connecticut, was fined $10,000 and suspended for 4 months for allegedly borrowing money from one of his clients, who was also a friend.  Also, he allegedly did not get other clients’ written approval for trades […]

On September 19, 2023, the Financial Industry Regulatory Authority (FINRA) barred LESLIE DON JACKSON (LES JACKSON) a former financial advisor accused of allegedly failing to notify his firm about promissory notes that he had recommended to investors and/or bought for himself. Jackson, according to FINRA’s BrokerCheck, was registered with Momentum Independent Network, Inc. of Dallas, […]

Soreide Law Group has filed a FINRA arbitration on behalf of their client (Claimant) against: AMERICAN TRUST INVESTMENT SERVICES, INC. (Respondent) The Claimant, a divorced mother of three in her 60s, is living in Illinois. On or about 2015, the Claimant attended a presentation of formerly registered representative, DAVID RICHARD GEAKE.  Geake transferred to AMERICAN […]

The South Florida-based, Soreide Law Group, obtained the following information on Florida broker, RONALD ERNEST FILORAMO (RONALD FILORAMO) formerly of Morgan Stanley of Ft. Lauderdale, Florida, from FINRA’s BrokerCheck. On September 19, 2023, FINRA barred Filormo from acting as a broker or otherwise associating with a broker-dealer firm. RONALD FILORAMO was previously registered both as […]

The Securities and Exchange Commission (SEC) filed partially settled charges against Joseph Michael "Mike" Todd, a resident of Panama City, Florida, and his entities Todd Financial Services, LLC (TFS) and TFS Insurance Services LLC (TFS Insurance). Joseph Michael Todd a former financial advisor/broker with Centaurus Financial was charged by the SEC in an alleged scheme […]