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 [...]
Losses in Under Armour, Inc, STEP Income Securities Market Linked Securities
Soreide Law is investigating losses in Under Armour, Inc, STEP Income Securities market linked securities Merrill Lynch was [...]
Did Your Broker Recommend Miller Energy?
Miller Energy Resources Inc., an oil and gas driller that operates in Alaska, filed for bankruptcy protection on October [...]
Former Pennsylvania Broker, David Wells, Barred by FINRA
Soreide Law Group obtained the following information from FINRA’s July 2017 Disciplinary Report: David Wesley Wells (David Wells) (CRD [...]
Four Atlanta Brokers Charged With Fraud in Federal Government Retirement Accounts
The Securities and Exchange Commission (SEC) filed fraud charges on Monday, July 31, 2017, against four Atlanta, Georgia area [...]
Former California Broker, Tracy Rae Turner, Fined Over $270K and Barred by FINRA
Soreide Law Group obtained the following information on FINRA’s website from the July 2017 Disciplinary Report: Tracy Rae Turner [...]
Did Your Broker Recommend These Vertical Funds?
Soreide Law Group is currently investigating the following Vertical Funds on behalf of our clients who have suffered devastating [...]
Soreide Law Group Files 6th. FINRA Arbitration Against VFG SECURITIES, INC and Broker MARK TREWITT
Soreide Law Group filed their 6th FINRA arbitration on behalf of their clients (Claimants) against VFG SECURITIES, INC., and [...]
Former Wells Fargo Broker, James Schaedler, Barred by FINRA
JAMES ROBERT SCHAEDLER JR. CRD#: 4264512 (James Schaedler) has been barred from acting as a broker or otherwise associating [...]
Former Newbridge Securities Broker, AUSTIN R DUTTON JR, Fined $200,000 by Pennsylvania Department of Banking and Securities
AUSTIN RICHARD DUTTON JR (AUSTIN R DUTTON JR) CRD#: 2739167 a broker from the Philadelphia area, was fined [...]
V CULLEN KEMPSON III Fined and Suspended by FINRA for Alleged Trading in Deceased Client’s Accounts
Soreide Law Group obtained the following from the July 2017 FINRA Disciplinary Report: V CULLEN KEMPSON III (aka V [...]
Edward Thomas McFarlane Fined and Suspended by FINRA Over Non-Traditional ETF Sales
Soreide Law Group obtained the following information from FINRA’s Disciplinary Report from July 2017: Edward Thomas McFarlane (CRD #2492335, [...]
KCD Financial Censured and Fined by the SEC
Soreide Law Group obtained the following information on FINRA’s website: KCD Financial, Inc. (CRD #127473, Green Bay, Wisconsin) On [...]
Did Your Broker Recommend the High-Risk Leveraged ETF, ProShares Ultra VIX Short-Term Futures (UVXY)?
Did your broker/financial advisor recommend this high-risk leveraged ETF for your otherwise conservative or moderate portfolio? ProShares Ultra VIX [...]
Anthony Joseph Verzi, Former Morgan Stanley Broker of Melbourne, Florida, Barred by FINRA
The Financial Industry Regulatory Authority Inc. (FINRA) has barred ANTHONY JOSEPH VERZI (TONY VERZI) CRD#: 1186572 from acting as [...]