Soreide Law Group is investigating potential claims against John Thomas Financial. John Thomas Financial raised approximately $5,000,000 as the lead underwriter for America West. Certain investors were advised that within approximately six months the private placement shares would convert to publicly traded stock and all the investors would realize short-term profits. Instead, investors have suffered a complete loss in the investment.
Unbeknownst to these investors, in October 2008, John Thomas Financial acquired 15,000,000 warrants, and 5,000,000 options on America West. John Thomas Financial and certain officers of the company are being investigated by FINRA regarding the firm’s dealings in America West.
If you have suffered in the America West private placement, you may have a potential claim for recovery. Call Soreide Law Group for a free consultation with an attorney: 888-760-6552
Soreide Law Group is investigating potential investor claims involving World Investments LLC after FINRA sanctioned the firm for supervisory failures involving deferred variable annuity exchanges and registered index-linked annuities (RILAs). Investors who suffered losses in variable annuities, RILAs, or other investments recommended through World Investments may have legal options and should learn more about FINRA's […]
Investors potentially experienced sales practice violations by securities broker Gary Bryan Frisch [CRD: 5037164, Surprise, Arizona], according to public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Frisch worked for Avantax Investment Services Inc. and Avantax Advisory Services from October 25, 2019, through September 5, 2025, and has been registered with Cetera Wealth Services […]
Investors potentially incurred losses because of securities broker Christopher Frederick Chlupp [CRD: 2950578, Wisconsin Dells, Wisconsin], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Chlupp has worked for Robert W. Baird Co. Incorporated as a securities broker since June 25, 1998, and as a financial advisor since September 24, 1998. Keep reading to […]
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