Sabine Oil and Gas (symbol: SOGCQ) has declared bankruptcy. The September 23, 2016 form 8937 filing (Report of [...]
Soreide Law Group obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions May 2017.” First [...]
Soreide Law Group Files FINRA Arbitration Against Wells Fargo Due to Broker’s Alleged Over-Concentration in Oil Stocks
Soreide Law Group has filed a FINRA arbitration, on behalf of their client (Claimant), against WELLS FARGO ADVISORS, LLC. [...]
Have You Experienced Losses Due to Broker, STEVEN KNUTTILA of Capital Financial Services of Perham, Minnesota?
STEVEN ROLAND KNUTTILA (STEVEN KNUTTILA) CRD#: 3039112 According to FINRA’s BrokerCheck, Steven Knutilla, a Perham, Minnesota broker with Capital [...]
FINRA issued the following complaint in May of 2017. Issuance of a disciplinary complaint represents FINRA’s initiation of a [...]
Former Wells Fargo Broker, Scott Polish, Barred by FINRA for Using Elderly Client Funds to Pay Personal Credit Cards
SCOTT SHERWIN POLISH (SCOTT POLISH) CRD#: 2165523, a former broker from Wells Fargo in Mentor Ohio, was barred by [...]
Former broker from The Oak Ridge Financial Services Group of Golden Valley, Minnesota, Phillip Hinze, Fined and Suspended by FINRA
Soreide Law Group obtained the following from FINRA’s Disciplinary Report of May 2017: PHILLIP RUSSELL HINZE (CRD #4494915, Mendota [...]
Soreide Law Group obtained the following from FINRA’s Disciplinary Report May, 2017: DARRACH MICHAEL BOURKE (DARRACH BOURKE) (CRD #5255413, [...]
Miami Firm, Ultralat Capital Markets, Censured, Fined, Ordered to Pay Restitution to Clients, and Revise WSPs by FINRA
Soreide Law Group, based in South Florida, obtained the following information on FINRA’s website under, “Disciplinary and Other FINRA [...]
Soreide Law Group is investigating, on behalf of clients, former Next Financial broker, EDUARDO GUILLERMO DIAZ also known as [...]
Were You a Victim of the Ponzi-Like Scheme of Former PFS Investments Financial Advisor, Mike Lundy of Rapid City?
BARKLEY JW LUNDY JR, (CRD#: 2260127) also known as MIKE LUNDY, a 68 year-old investment advisor from Rapid City, [...]
Soreide Law Group is currently investigating, on behalf of our clients, NEXT FINANCIAL GROUP, INC. based in Houston, TX, [...]
Soreide Law Group is investigating, on behalf of clients who suffered devastating losses, broker/dealers who over-concentrated their clients in: [...]
JARRED M LAWSON, Formerly of Merrill Lynch Jacksonville, Suspended for One Year by FINRA Over Mutual Fund Sales
The Florida-based, Soreide Law Group, obtained the following on FINRA’s website under, ‘Disciplinary and Other FINRA Actions May 2017.’ [...]
Former Cuna Brokerage Services of Pembroke Pines, Florida Broker, David Ladin, Suspended and Assessed a Deferred $10K Fine by FINRA
Soreide Law Group, based in South Florida, obtained the following information from FINRA’s website’s May 2017 Disciplinary Report regarding [...]
Soreide Law Group is currently investigating, on behalf of clients who have contacted us, Janney Montgomery Scott, New York [...]
Soreide Law Group has recently been contacted by investors who purchased: iPathÂ S&P 500 VIX ST Futuresâ„¢ ETN (VXX) [...]
Have You Experienced Losses Due to Raymond James Financial Delray Beach, Florida, broker, Jeffrey Drapala?
Soreide Law Group, conveniently based in South Florida, is investigating Delray Beach, Florida broker: JEFFREY JOSEPH DRAPALA CRD#: 1674124 [...]
Soreide Law Group Files FINRA Arbitration Against Palm City Florida Broker, JOE MARTEK and CENTAURUS FINANCIAL, INC.
Soreide Law Group, based in Florida, has filed a FINRA arbitration on behalf of their clients against, CENTAURUS FINANCIAL, [...]
FREDERICK EUGENE MONROE JR (FRED MONROE JR, FREDERICK EUGENE JR MONROE) CRD#: 2457010 According to the SEC documents, from [...]