Soreide Law Group has been contacted by investors who allegedly suffered losses after purchasing high risks stocks recommended by broker/investment advisor, WILLIAM JEFFREY CARLTON (WILLIAM J CARLTON, W JEFFREY CARLTON, JEFFREY CARLTON). Carlton has been registered with AEGIS CAPITAL CORP. of Melville, New York, since 12/21/2023.  From 09/21/2007 - 01/12/2024, WILLIAM J CARLTON was registered […]

Investors have reportedly disputed the sales practices of securities broker John B. Darmanian [CRD: 2899924, Montrose, California], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Darmanian worked for Western International Securities Inc. from September 11, 2009, to June 5, 2025, before joining LPL Financial LLC on June 5, 2025. Investors […]

JEFFREY THOMAS HIGGINS (JEFFREY T HIGGINS) was barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm with the start date of 7/1/2024.  Higgins was previously registered both as a broker and as an investment advisor. JEFFREY T HIGGINS was registered with WESTERN INTERNATIONAL SECURITIES INC of Baker City, Oregon, […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: REALTA EQUITIES, INC. and their registered representative, THOMAS C SHULTZ (Respondents). The Claimant is retired and living in Arizona.  In 2018, the Claimant and her husband were invited to a retirement planning dinner by REALTA EQUITIES broker, THOMAS C SHULTZ. […]

Recent developments involving Greg Lindberg have brought renewed attention to investors who may have suffered losses tied to Northstar Bermuda. Soreide Law Group has successfully handled cases against Suntrust, Truist, Bank of Hawaii and other firms representing many investors not only from the United States but also from South America, Mexico and Japan, who were investors in […]

Soreide Law Group has been contacted by an investor experiencing losses in GWG L Bonds, due to the alleged recommendation of broker/investment advisor, THOMAS CAINE SHULTZ (THOMAS SHULTZ, THOMAS C SHULTZ).  Shultz is currently registered both as a broker and investment advisor with REALTA EQUITIES, INC of Phoenix, Arizona since 7/25/2023.  He was previously registered with […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: LPL FINANCIAL LLC (Respondent). According to the lawsuit, the Claimant was solicited by the Respondent’s Financial Advisor, MARIO BRIAN BARONE (MARIO B BARONE), to invest in a speculative non-traded REIT now known as Pacific Oak Strategy Opportunity REIT. The lawsuit […]

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 (JOSHUA D CHAPIN) (Respondents). The Claimant is retired and living in Florida. On or about November of 2021, the Claimant sold an apartment building and was interested in spending less […]

Soreide Law Group was contacted by an investor who experienced losses in Versity Investments DSTs (Delaware Statutory Trusts) allegedly due to the recommendation of former EMERSON EQUITY LLC of Menomonee Falls, Wisconsin, broker/investment advisor, JEFFREY DONALD NOARD (JEFFREY D NOARD). Before Emerson Equity, Noard was registered with CABOT LODGE SECURITIES LLC of Menomonee Falls, Wisconsin, […]