FINRA Arbitration Filed Against ABRAHAM HEIMANN Due to Alleged Over Concentration of Miller Energy Stock
Soreide Law Group has filed several FINRA arbitrations on behalf of our clients against brokers/dealers who have recommended high-risk [...]
Former New York Broker, JAIME R RODRIGUEZ, Barred by FINRA for Alleged Theft from Elderly and Blind Client
JAIME R RODRIGUEZ CRD#: (5128530), a former HSBC broker in New York was barred by FINRA for allegedly converting [...]
SEC Accuses Former LPL Financial Broker, SONYA D CAMARCO, of Misappropriation of $2.8 Million from Clients
The SEC has obtained an order to freeze the assets of a former LPL Financial broker who allegedly misappropriated [...]
Boca Raton Broker, LARRY C WOLFE, Fined and Suspended by FINRA
Soreide Law Group, based in Pompano Beach, Florida, obtained the following information from FINRA’s Disciplinary Report, August, 2017, which [...]
Raymond Montoya Charged with Running a Ponzi Scheme
Soreide Law Group is currently investigating the Raymond Montoya/ RMA Strategic Opportunity Fund LLC Ponzi scheme. The Boston-area hedge [...]
Hilltop Securities of Dallas, Texas, and Douglas Hodges Fined by FINRA
Soreide Law Group obtained the following information from FINRA’s August 2017 Disciplinary Report, available to the public on FINRA’s [...]
Former Pennsylvania Broker, Mark Charles Koehler, Barred by FINRA
Soreide Law Group obtained the following information, which is available to the public, on FINRA’s website under, “Disciplinary and [...]
Florida’s WILLIAM H MERRIAM IV, Former Broker with Merrill Lynch of Jacksonville, Barred by FINRA
Soreide Law Group, based in Florida, obtained the following information from FINRA’s website, which is available to the public, [...]
Anthony Joseph Verzi, Formerly with Morgan Stanley of Melbourne, Florida, Barred by FINRA
Soreide Law Group, a Florida-based law firm, obtained the following information from FINRA’s website, available to the public, under [...]
Former Lincoln Financial Distributors of Harford, Connecticut broker, Toby McGrath, Barred by FINRA
Soreide Law Group obtained the following information, which is available to the public, on FINRA’s website under, “Disciplinary and [...]
Wisconsin’s CABOT LODGE SECURITIES Broker, Jeffrey Donald Noard, Fined and Suspended by FINRA
Soreide Law Group obtained the following information from FINRA's August 2017 Disciplinary Report: Jeffrey Donald Noard (CRD #1983392, Menomonee [...]
Former Delray Beach Cetera Advisors Broker, Christopher Robert Hickman, Ordered to Pay Restitution to Clients by FINRA
Soreide Law Group, based in Pompano Beach, Florida, obtained the following information on FINRA’s website’s August 2017 Disciplinary Report [...]
Former Pruco Securities of Chicago Broker, Cathy Ione Earnest, Barred by FINRA
Soreide Law Group obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions August 2017:” Cathy [...]
FSC Securities Corp Fined For Alleged Failure to Supervise Leveraged ETF Sales
On August 10, 2017, the Financial Industry Regulatory Authority Inc. (FINRA) announced that it has fined FSC Securities Corp., [...]
Laurence M. Rothstein Fined and Suspended by FINRA
Soreide Law Group obtained the following information from FINRA’s July, 2017 Disciplinary Report: Laurence M. Rothstein (CRD #4591152, Cumming, [...]
Former Oppenheimer Broker, DAVID HOBSON, Barred by the SEC
DAVID PAUL HOBSON (DAVID HOBSON) CRD#: 2448412 was barred by the SEC from acting as a broker or investment [...]
Are You a Client of Wells Fargo Advisors, Fargo, North Dakota, REGAN ROHL?
Soreide Law Group has been contacted by investors and we are currently investigating Wells Fargo Advisors, of Fargo, North [...]
Did You Experience REIT losses Due to the Recommendations of Texas Broker, Mark Sitter?
Soreide Law Group is currently investigating on behalf our clients, Capital Financial Services of The Woodlands, Texas, broker: MARK [...]
Former New Jersey Broker, Anthony Ferrone, Barred by FINRA
ANTHONY VINCENT FERRONE CRD#: 1192506 Without admitting or denying the findings, on July 25, 2017, Ferrone consented to the [...]
Soreide Law Group Files FINRA Arbitration on Behalf of Clients Against MORGAN STANLEY, UBS FINANCIAL SERVICES, and their Registered Representative WILLIAM JOHN PAYNTER JR
Soreide Law Group has filed a FINRA arbitration on behalf of their clients (Claimants) against: MORGAN STANLEY, UBS FINANCIAL [...]