Soreide Law Group is investigating potential investor claims against financial advisor Sean Michael Fleming [CRD: 6516544, Mesa, Arizona], given the disclosures on FINRA BrokerCheck. Evidently, Fleming established Fleming Financial Services on February 14, 2018. Keep reading to learn more about Fleming's disclosures.
Particularly, a client filed a complaint about Sean Fleming. Supposedly, Fleming recommended an investment in a private placement that later failed. Because of this, the investor apparently experienced damages on private placements. Therefore, on August 16, 2022, Fleming Financial Services settled this matter by paying the client $200,000 in damages.
Additionally, a client of Fleming Financial Services Inc. contested Sean Fleming’s sales practices, according to a complaint. Allegedly, Fleming recommended an investment in an inappropriate private placement. Clients claim the investment was unsuitable. It appears that Fleming caused the client to sustain damages. As a result, Fleming Financial Services Inc. opted to settle the matter on July 26, 2022, by compensating the client in the amount of $200,000.
Also, a client filed a complaint about Sean Fleming. Supposedly, Fleming recommended an investment in a private placement that later failed. For this reason, on July 26, 2022, Fleming Financial Services settled this matter by paying the client $80,000 in damages.
Moreover, a client of Fleming Financial Services contested Sean Fleming’s sales practices, according to a complaint. Allegedly, Fleming made unsuitable recommendations in private placements and two indexed annuities. Therefore, Fleming Financial Services opted to settle the matter on January 3, 2023, by compensating the client in the amount of $483,333.33.
Did you experience losses because of Sean Fleming? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk to a securities lawyer about a possible recovery of your investment losses. Soreide Law Group has assisted hundreds of clients throughout the country, works on a contingency fee basis, and advances all costs. Fleming and brokerage firms Fleming worked for deny accusations of sales practice violations.
The private market, once the exclusive playground of institutional investors, has increasingly opened its doors to individual investors seeking a piece of the next unicorn. Funds like the Advanced Technology Select Funds - targeting high-profile private companies such as Flexport, Plaid, and Cybereason - are a prime example of this trend. While the prospect of […]
Soreide Law Group, PLLC At Soreide Law Group, we help investors, shareholders, and publicly traded companies navigate the complex federal rules governing the resale of restricted or control securities. Our attorneys understand that clearing restrictive legends and ensuring compliance with Rule 144 or other resale exemptions can be time-sensitive and critical to protecting shareholder rights. […]
FINRA barred securities broker Emma Marie McAuley [CRD: 7178199, Auburn, Washington], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, McAuley worked for Edward Jones from November 4, 2019, to March 19, 2024. Keep reading to learn more about McAuley’s disclosures. FINRA Sanctioned McAuley For Failure To Respond Notably, on January 21, 2025, […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com