Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: DOMINION INVESTOR SERVICES, INC. and their registered representative, LANCE C WALSTON (Respondents). Walston has been registered with this firm, located in San Antonio, Texas, since 8/18/2017. The Claimant, on or about 2017, along with his wife, opened accounts with DOMINION […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: DH HILL SECURITIES, LLP (Respondent) The Claimant resides in North Carolina and claims to have limited investment experience.  The Claimant, according to the lawsuit wanted investments that would not be high-risk as nears retirement.  The lawsuit states that the Claimant […]

The Financial Industry Regulatory Authority (FINRA) fined and suspended a former Merrill Lynch of Mill Valley, California, broker/financial advisor who allegedly engaged in unauthorized trading in client accounts. Conrad K Branson, was with Merrill Lynch from 5/10/2013 - 06/22/2022.  According to a recent article in Financial Advisor IQ, Merrill Lynch filed a Form U5 termination […]

Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: AUSDAL FINANCIAL PARTNERS, INC., and their registered representative, BRIAN WAYNE NAPIER (Brian W Napier) (Respondents). The Claimants are retirees in their 80’s and according to the lawsuit, AUSDAL FINANCIAL PARTNERS’ broker, Brian W Napier, allegedly sold the Claimants $435,000 of […]

In a recent article from Barron’s, it was reported that the Financial Industry Regulatory Authority (FINRA) took action against two brokers for their conduct related to communicating with clients through unauthorized text messages.  FINRA wants to ensure that all communications between clients and advisors must go through the appropriate channels. One of the brokers mentioned […]

According to a press release from the United States Department of Justice, on August 18, 2022, a Judge from the U.S. District Court for the District of South Carolina sentenced Scott Kohn, 68, of Newport, California, to 10 years in prison for his role as the mastermind of a nationwide Ponzi scheme, Future Income Payments […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: DOMINION INVESTOR SERVICES, INC., and their registered representative, LANCE C WALSTON (Respondents). The Claimant is 58 years-old, self-employed, and living in Texas. The Claimant opened an account in 2017 with DOMINION INVESTOR SERVICES broker, LANCE COLBY WALSTON. The lawsuit states […]

The Pompano Beach based law firm, Soreide Law Group, has filed a lawsuit in the Financial Industry Regulatory Authority “FINRA” Arbitration forum Against PFS Investments, Inc., “PFS” and their former Financial Advisor Jerry Roman for Mr. Roman recommending to PFS customers to invest in MJ Capital Funding. PFS stands for Primerica Financial Services. The Pompano […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: LPL FINANCIAL, LLC, and their registered representative,   Frederick W Arbusto (“Arbusto”) (Respondents).   The lawsuit alleges that the Claimant, who was a long time customer of LPL broker, Frederick W Arbusto, wanted their newly deposited money to generate bond […]