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Clearwater Broker, DENNIS M. MERRITT Suspended by FINRA Over Private Securities Transactions

August 22nd, 2016|

The Pompano Beach, Florida-based Soreide Law Group obtained the following information on FINRA’s website under, “Disciplinary and Other FINRA Actions, [...]

Former LPL Financial Broker, Sonia Giannetti, Fined and Suspended by FINRA

August 19th, 2016|

Florida-based Soreide Law Group obtained the following information on FINRA’s website under, “Disciplinary and Other FINRA Actions, August 2016.” Sonia [...]

Boca Raton Brokerage, Newbridge Securities Corporation, Censured and Fined by FINRA

August 18th, 2016|

The Florida-based Soreide Law Group obtained the following information on FINRA’s website under, “Disciplinary and Other FINRA Actions, August 2016.” [...]

Florida Broker, Arthur Espinoza, Barred by FINRA

August 18th, 2016|

The Florida-based Soreide Law Group obtained the following information on FINRA’s website under, “Disciplinary and Other FINRA Actions, August 2016.” [...]

Jon B. Schmidhammer, Ohio Broker Indicted by Grand Jury for Alleged Theft from Elderly Client

August 17th, 2016|

Dublin, Ohio, financial advisor, JON B. SCHMIDHAMMER (CRD# 1548931), 62, was indicted by a grand jury Monday, August 15, 2016, [...]

Lawsuit Filed Against Raymond James Financial Over Jay Peak Resorts

August 17th, 2016|

There has been a lawsuit filed by an investor in a hotel at Jay Peak Vermont against Raymond James Financial [...]

Atlas Resource Partners LP (ARP) Files Bankruptcy

August 16th, 2016|

Atlas Resource Partners, L.P. (ARP)  has filed for Chapter 11 bankruptcy, Wednesday, July 27, 2016, after negotiating a plan to [...]

Lars Soreide Quoted in “FinancialPlanning” Article Regarding Over-Concentrations of Oil and Gas Stock

August 3rd, 2016|

Securities Lawyer, Lars Soreide, Esq., of Soreide Law Group, was recently quoted in an article from the New York-based “FinancialPlanning” [...]

Soreide Law Group Files FINRA Arbitration Against Wells Fargo Advisors and Broker For Over-Concentration of Oil and Gas Stock

August 2nd, 2016|

Soreide Law Group recently filed a FINRA arbitration on behalf of their client against WELLS FARGO ADVISORS LLC, (“Wells Fargo”),  [...]

Lizabeth G. Ty, Formerly with Houston’s Park Avenue Securities, Barred by FINRA

July 26th, 2016|

F The following information was obtained by Soreide Law Group (888-760-6552) from FINRA’s website under, “Disciplinary and Other FINRA Actions, [...]

David M. Miller, Columbus OH, Barred by FINRA Over UIT Losses

July 26th, 2016|

The Soreide Law Group (888-760-6552) obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions, July 2016.” [...]

Former THRIVENT INVESTMENT MANAGEMENT INC of El Paso, Texas, MIGUEL ANGEL HERNANDEZ, Barred by FINRA

July 26th, 2016|

Soreide Law Group (888-760-6552) obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions, July 2016.” Miguel [...]

Soreide Law Group Files Claim Against PROEQUITIES, INC. and Former Broker, Bradley J. Freidmark

July 25th, 2016|

Soreide Law Group was recently retained to file claims against Proequities, Inc. of Otsego, Minnesota, regarding investment recommendations made by [...]

Former Wells Fargo Advisors Broker, BRADLEY T. SMEGAL, Charged with Allegedly Stealing $5 Million from Clients

July 21st, 2016|

BRADLEY T. SMEGAL (CRD# 716056), a 63 year-old former Wells Fargo investment adviser in Minnealpolis is facing federal securities fraud [...]

Talman Anthony Harris, former broker with RADNOR RESEARCH & TRADING CO, Barred by FINRA

July 21st, 2016|

The Florida-based Soreide Law Group (888-760-6552) obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions, July [...]

Bonanza Creek Energy Inc (BCEI) Stock Plummets

July 20th, 2016|

Shares in Bonanza Creek Energy Inc (BCEI) plummeted 36.84% in Wednesday’s trading after the company announced it hired Perella Weinberg [...]

Ft. Lauderdale Firm, Kovack Securities Inc., Fined and Censured by FINRA

July 19th, 2016|

The Pompano Beach, Florida-based Soreide Law Group (888-760-6552) obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA [...]

BrokerBank Securities, Inc. and Broker Fined and Censured by FINRA Over Misleading Press Releases

July 19th, 2016|

Soreide Law Group (888-760-6552) obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions, July 2016.” BrokerBank [...]

Former Miami Broker, James P. Scullin, Fined and Suspended by FINRA for Alleged Unauthorized Trading

July 19th, 2016|

The South Florida-based Soreide Law Group (888-760-6552) obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions, [...]