Soreide Law Group is currently investigating these collateralized loan obligations (CLOs): Bryn Mawr CLO II Ltd., and LCM VII Ltd(Lyon Capital Management). Bank of America was the underwriter and sold several CLO’s, including Bryn Mawr and LCM VII. Many of these CLOs resulted in huge losses for the investors.
The state of Massachusetts is currently investigating records and documents from Banc of America Securities LLC (now known as Merrill Lynch) allegedly related to these two CLOs, Bryn Mawr CLO II Ltd., and LCM VII Ltd—sold in 2007.
The Financial Industry Regulatory Authority (“FINRA”), on January 31, 2012, issued an award ordering Merrill Lynch (Banc of America Securities) to pay an LCM VII Ltd. investor $1.38 million, which was the total loss of his investment, plus costs and attorney’s fees.
Securities Attorney, Lars Soreide, of Soreide Law Group, PLLC, has represented clients nationwide before FINRA. If you have sustained investment losses due to your stock broker or financial advisor’s recommendations regarding CLOs, call for a free consultation on how to potentially recover your losses. To speak with an attorney call 888-760-6552, or visit our website at: https://www.securitieslawyer.com.
Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: TEXAKOMA FINANCIAL, INC. and their registered representative, SHEA PETER KENNEDY (SHEA P KENNEDY) (Repondents). The Claimant resides in Nevada, and according to the lawsuit, around August of 2023, SHEA P KENNEDY contacted the Claimant unsolicited, apparently after the Claimant had […]
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
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