PAUL RICHARD MEYER (PAUL R MEYER) was previously registered as a broker and is currently registered as an investment advisor with AEGIS CAPITAL CORP of Edina, Minnesota since 2/17/2026. Meyer was registered as a broker with RBC CAPITAL MARKETS LLC of Minnetonka, Minnesota from 10/11/2017 - 01/26/2026. According to SEC’s website, available to the public, […]

KEITH MICHAEL DAGOSTINO (KEITH M DAGOSTINO, KEITH DAGOSTINO) was fined $25,000.00 and suspended from acting as a broker by FINRA for 24 months with a start date of 1/5/2026 and end date of 1/4/2028.  Dagostino was previously registered with EF HUTTON LLC of Woodbury, New York, from 10/30/2023 - 10/30/2024, and AEGIS CAPITAL CORP of […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against, AEGIS CAPITAL CORP.  and their registered representative, WILLIAM J CARLTON (Respondents). The Claimant is in his 80s, retired, and living in South Florida. The lawsuit alleges negligence, misrepresentations, and breach of fiduciary duty, of AEGIS CAPITAL CORP and their registered […]

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 […]