How do I know if my broker is liable for my losses?

First, you need to decide if your loss is attributable to a 'Market Loss' (the same decline as the general market percentage) or is something greater. Suitability is also important as a deciding factor because a retiree, for example, should not be in risky investments. Further, failing to limit losses and excessive trading is also something that could lead to broker liability. Additionally, you may have a case based on misrepresentations and excessive leverage. There are many more ways you could have a claim besides what is mentioned here. If you have any questions please feel free to call Lars Soreide to discuss your case.

How to choose an attorney?

You should choose an attorney based on reputation, experience, past awards, responsiveness, and trust. If you have questions for Lars Soreide, Esq., he can discuss similar cases and what he has done to induce settlements and awards.

There is no fee if no recovery at Soreide Law Group. In addition, there are nominal forum fees for FINRA depending on your loss. However, there may be nominal travel expenses that come out of the settlement/award. If you have any concerns about fees please discuss them with us.

How do I commence an arbitration?

Filing a claim with FINRA is easy with Soreide Law Group, please contact us at your convenience.

Where is the hearing location?

The hearing location is typically at the FINRA hearing location nearest to where the investor lived at the time of the investment. However, this can be changed if agreed upon by all parties.

Does it matter that we are in different states?

No, we will travel to the hearing location that FINRA assigns. For instance, the vast majority of our clients are out of state. We allow the opportunity to call, email, fax, video chat, and share files electronically, in addition to traditional mail so it makes no difference where our main office is located. Our goal is to make it easy for you.

What is FINRA Arbitration?

The Financial Industry Regulatory Authority or FINRA is the binding dispute resolution forum that all securities disputes against brokers and brokerage firms are submitted. These arbitration are decided by a panel made up of typically 3 arbitrators who are knowledgeable in the area of securities laws and regulation. The U.S. Supreme Court decision, Shearson v. MacMahon, 482 U.S. 220 (1987) enforced mandatory binding arbitration clauses in the securities industry. One of the most important legal aspects is that arbitration awards are final and binding, subject to review by a court only on a very limited basis. FINRA used to be formerly known as the National Association of Securities Dealers or the NASD.

How do I commence an Arbitration?

TArbitrations begin by filing a statement of claim with FINRA’s headquarters, together with a submission agreement and the required fees. Prior to filing the Statement of Claim, in most cases, we will have an initial damage analysis performed by a forensic accountant. Depending on the nature of the case, a damage analysis may not be necessary..

How much does it cost to retain your firm?

We accept cases on a contingency fee basis meaning we do not get paid for our time. Rather, we only get paid in the event of a recovery.

In addition to securities cases what types of professionals do you represent?

We represent all Florida licensed professionals before the Department of Business and Professional Regulation, Department of Health, Florida Department of Banking and Finance, now the Florida Office of Financial Regulation, and attorneys. We also represent attorney applicants before the Florida Board of Bar Examiners and the Florida Bar Grievance Committee.

News Articles

Jovi San Nicolas Barred, Involved In Client Dispute

Jovi San Nicolas Barred, Involved In Client Dispute

SecuritiesAuthor2022-05-03T17:57:03+00:00May 28th, 2022|

FINRA Bars Javelin San Nicolas As Securities Broker Notably, FINRA BrokerCheck indicates that investors alleged improper sales practices involving [...]

Daniel Soliman Involved In Traderfield Investor Dispute

Daniel Soliman Involved In Traderfield Investor Dispute

SecuritiesAuthor2022-05-03T17:50:11+00:00May 27th, 2022|

Investor Alleges Traderfield, Daniel Soliman Misrepresented Information About Trading Soreide Law Group is examining investor disputes concerning securities broker [...]

Keith Holcomb Suspended, Involved In MML Investor Dispute

Keith Holcomb Suspended, Involved In MML Investor Dispute

SecuritiesAuthor2022-05-03T17:45:26+00:00May 26th, 2022|

FINRA Suspends Keith Holcomb (MML Investor Services) Soreide Law Group comes to you with new information relating to the [...]

Mark Alan Cline Formerly of National Securities Corporation

Mark Alan Cline Formerly of National Securities Corporation

Editor SLG2022-05-26T14:37:49+00:00May 26th, 2022|

Soreide Law Group, based in Florida, has obtained information that Mark Alan Cline (CRD#: 3206962), not currently registered, formerly [...]

GWG L Bond Lawsuit Filed Against Coastal Equities and Jamie Nowakowski

GWG L Bond Lawsuit Filed Against Coastal Equities and Jamie Nowakowski

Editor SLG2022-05-25T19:32:10+00:00May 25th, 2022|

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: Coastal Equities, Inc., and [...]

Joseph Andreoli Involved In Wells Fargo Investor Dispute

Joseph Andreoli Involved In Wells Fargo Investor Dispute

SecuritiesAuthor2022-05-03T17:38:34+00:00May 25th, 2022|

Broker Joseph Andreoli Is Involved In Wells Fargo Client Dispute About Suitability FINRA provides important information concerning Joseph Marie [...]

Mirsad Muharemovic Involved In Arive Investor Dispute

Mirsad Muharemovic Involved In Arive Investor Dispute

SecuritiesAuthor2022-05-03T17:31:22+00:00May 25th, 2022|

Broker Mirsad Muharemovic Faces Arive Investor Dispute About Alleged Unsuitable Trading FINRA BrokerCheck indicates that investors alleged sales practice [...]

Bennett R Zamani Fined and Suspended

Bennett R Zamani Fined and Suspended

Editor SLG2022-05-24T18:25:16+00:00May 24th, 2022|

Bennett Robert Zamani (Bennett R Zamani CRD#: 6198730) was fined $27,500 and suspended for 14 months by the Financial [...]

Shim Plotkin Involved In IFG Investor Dispute

Shim Plotkin Involved In IFG Investor Dispute

SecuritiesAuthor2022-05-03T17:25:43+00:00May 24th, 2022|

Client Of IFG Files Dispute Involving Alternative Investments By Shim Plotkin Soreide Law Group is examining investor complaints concerning [...]

Larry Boggs Involved In First Allied Investor Dispute

Larry Boggs Involved In First Allied Investor Dispute

SecuritiesAuthor2022-05-03T17:17:34+00:00May 23rd, 2022|

Client Of First Allied Securities Files Dispute About Larry Boggs' Annuity Recommendations Investment loss recovery counsel at Soreide Law [...]

PORTSMOUTH FINANCIAL GWG Bond Clients

PORTSMOUTH FINANCIAL GWG Bond Clients

Editor SLG2022-05-23T16:14:39+00:00May 23rd, 2022|

Soreide Law Group is currently investigating potential claims made by investors who purchased GWG L Bonds through PORTSMOUTH FINANCIAL [...]

Tuan Ngo Involved In VFG Investor Dispute

Tuan Ngo Involved In VFG Investor Dispute

SecuritiesAuthor2022-05-03T16:40:37+00:00May 22nd, 2022|

Investor Dispute Concerns Tuan Ngo And VFG Securities New FINRA BrokerCheck disclosures concern securities broker Tuan Anh Ngo “Toon [...]

Ian Ha Barred, Involved In AXA Investor Dispute

Ian Ha Barred, Involved In AXA Investor Dispute

SecuritiesAuthor2022-05-03T16:12:16+00:00May 22nd, 2022|

Barred Securities Broker Ian Ha Involved In AXA Advisors Client Disputes The Financial Industry Regulatory Authority (FINRA) provides important [...]

Mike Conte Out At Fusion Analytics Amid FINRA Bar

Mike Conte Out At Fusion Analytics Amid FINRA Bar

SecuritiesAuthor2022-05-03T16:04:45+00:00May 21st, 2022|

FINRA, SEC Take Action Against Mike Conte (Fusion Analytics) FINRA BrokerCheck indicates that investors alleged improper sales practices involving [...]