Investors have come forward with complaints about securities broker Samuel Girgiss [CRD#: 6088898, New York, NY]. Evidently, the securities broker, who worked for Worden Capital Management, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Worden Capital Management clients allege that Girgiss made unsuitable and excessive transactions and failed to supervise. For more […]

Soreide Law Group is investigating possible investor claims against securities broker David Geake AKA David Richard Geake [CRD#: 3088891, Chicago, IL]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for American Trust Investment Services. Evidently, investors allege sales practice violations in these disputes, […]

Soreide Law Group has filed a FINRA arbitration on behalf of their clients (Claimants) against: ARQUE CAPITAL, LTD., and their registered representative, RONALD L MCLEOD (Respondents).  The Claimants are elderly and living in Florida. They were looking for conservative investments that could generate stable income to sustain them through retirement with minimal risk of loss […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against:   CETERA INVESTMENT SERVICES, LLC, and their registered representative,   THOMAS D BRUNT (Respondents). The Claimant is retired and living in Tennessee who brought a claim for losses in JP Morgan Linked Notes to ARK Innovations EFT that dropped over […]

In a recent article from InvestmentNews.com, it was reported that Emerson Equity, a California broker/dealer, is suing a network of insurance underwriters in a $5 million dispute over insurance claims by investors who bought GWG L bonds that were issued by GWG Holding Inc., which filed for Chapter 11 bankruptcy in April. Emerson Equity was […]

The Financial Industry Regulatory Authority (FINRA) has fined and suspended CHARLES V MALICO (CHARLIE MALICO, CRD#: 1507282) formerly with Network 1 Financial Securities in Huntington Station, New York, in what may be the first FINRA enforcement action stemming from the Securities and Exchange Commission’s Regulation Best Interest, or Reg BI. According to FINRA’s BrokerCheck, a […]

The Meridian Wealth Management Group, at Morgan Stanley, headed up by Michael J Wagner, CFP, as the executive director and Michael K Spector as a senior vice president, is located at 3280 Peachtree Rd NE, Suite 1900, Atlanta, Georgia. Some of the Meridian Group advisors have had several recent actions filed against them. One such […]

Attention investors who purchased stock symbol “GER” the “Goldman Sachs MLP Fund” before January 2020. GER was trading as high as $65 in 2018 and in 2020 crashed down to as low as $6.57. Despite oil and energy prices surging to new all time highs across the board the GER Goldman MLP fund currently only […]

The Financial Industry Regulatory Authority Inc. (FINRA) announced in a news release that it has ordered Joseph Stone Capital LLC to pay restitution of approximately $825,000 to clients whose accounts were excessively traded by the firm’s registered representatives. In related settlements, FINRA suspended eight current or former Joseph Stone representatives and required them to pay […]