Soreide Law Group has filed a lawsuit on behalf of our client who purchased over $300,000.00 of Atlas Funds through their broker/financial advisor at Spartan Capital Securities LLC.  Soreide Law Group would like to alert all investors who purchased Atlas Funds through Spartan Capital Securities LLC.  According to a recent FINRA complaint, (Disciplinary Proceeding No. 2021069218305) […]

Soreide Law Group has been contacted by investors who were allegedly sold GWG L bonds by the previously registered broker/investment advisor, BRYCE AUSTIN HAMILTON (BRYCE A HAMILTON).  According to FINRA’s BrokerCheck, available to the public on FINRA’s website, BRYCE A HAMILTON has been in the securities industry for 22 years and was listed with 12 […]

Soreide Law Group is currently representing clients who are pursuing a case allegedly involving the former registered representative, MARK JOHN WILLIAMS (MARK J WILLIAMS). This case involves the alleged sale of GWG L Bonds that took place at CENTAURUS FINANCIAL INC. Williams was most recently registered with KINGSWOOD CAPITAL PARTNERS LLC of Carmel by the […]

Investors might have sustained losses because of securities broker Michael Anthony Schiavello [CRD: 2153242, Garden City, New York], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Schiavello worked for Aegis Capital Corp. from September 11, 2017, to April 1, 2024, and has been registered with Dominari Securities LLC […]

PHILLIP CURTIS ANDERSON (PHILLIP C ANDERSON) was registered with KINGSWOOD CAPITAL PARTNERS LLC of Roseville, California, from 06/15/2018 - 06/30/2023. According to the FINRA report, on 5/13/2025, PHILLIP C ANDERSON was fined $10,000.00, ordered to pay disgorgement of $8,280.00, and suspended in all capacities for five months by the Financial Industry Regulatory Authority (FINRA). Without […]

KIRK JAMES CROSSEN (KIRK J CROSSEN) was previously registered with MORGAN STANLEY of Indianapolis, Indiana, from 09/16/2016 - 05/08/2023 and most recently with RAYMOND JAMES & ASSOCIATES of Carmel, Indiana, from 04/12/2023 - 11/16/2023. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, in a “Regulatory” report dated 5/1/2025, KIRK J CROSSEN was suspended […]

RONALD G SMITH (RON G SMITH) was formerly registered with SPARTAN CAPITAL SECURITIES of New York, NY from 07/01/2013 - 12/26/2023, and most recently with SANFORD C BERSTEIN & CO of Stamford, Connecticut from 01/11/2024 – 11/10/2025, was permanently barred by FINRA with the starting date of 11/10/2025. According to the FINRA report, without admitting […]

Jacob Lee Harper (Jacob L Harper, Jake Harper) formerly registered as a broker and a financial advisor, was suspended for twenty-two months and fined $17,500.00 after FINRA alleged he borrowed thousands of dollars from clients without his firm’s knowledge and later allegedly provided false information to regulators. The “Regulatory” disclosure on BrokerCheck is dated 11/10/2025. […]

BARRY LUTHER BUCHOLZ (BARRY L BUCHOLZ) was fined $7,500, ordered to pay $7,480 in disgorgement and suspended for one month by the Financial Industry Regulatory Authority (FINRA). Bucholz, a former LPL Financial broker allegedly traded without authorization in four customers’ accounts. BARRY L BUCHOLZ was listed with LPL Financial LLC of Cedar Rapids, Iowa from 10/11/2021 […]