STUART L PEARL Fined and Suspended
STUART L PEARL (STU PEARL), was fined $5,000.00 and suspended for three months (7/6/2021 - 10/5/2021) by FINRA. Pearl [...]
Christian Murray Evans Fined and Suspended
Christian Murray Evans (Christian Evans), a representative previously registered both as a broker and as an investment advisor, has [...]
DANIEL JAMES O’NEILL Formerly of Aegis Capital
According to FINRA’s BrokerCheck, there is a pending “Regulatory” disclosure dated July 29, 2021, against: DANIEL JAMES O'NEILL (DAN [...]
Moody National REIT II Losses?
Did You Suffer Losses By Investing In Moody National REIT II? Soreide Law Group is investigating potential investor lawsuits [...]
SEAN JOSEPH KELLY Customer Disputes
Soreide Law Group has been investigating claims brought against the broker, SEAN JOSEPH KELLY (CRD#: 2294170). Kelly was most [...]
Brokers Barred by FINRA
Soreide Law Group obtained the following list of brokers and financial advisors who were barred by FINRA as of [...]
Horizon Private Equity III LLC Losses?
Horizon Private Equity III LLC Losses? Soreide Law Group is reviewing whether to bring lawsuits on behalf of those [...]
Horizon Private Equity III Losses
Soreide Law Group is investigating claims that Oppenheimer & Co. Inc. allegedly failed to supervise their brokers, allowing them [...]
Moody National REIT II Losses
Soreide Law Group has been contacted by investors suffering devastating financial losses due to their brokers/dealers or financial advisors [...]
NEWBRIDGE SECURITIES/John Richard Boatright
Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against the following: NEWBRIDGE SECURITIES [...]
Medley Capital Corporation Losses?
Medley LLC Files Bankruptcy The investment loss recovery lawyers at Soreide Law Group are reviewing possible investor claims against [...]
Walter Valenzuela Faces Hilltop Investor Disputes
Clients Of Hilltop Securities Dispute Sales Practices Of Broker Walter Valenzuela Soreide Law Group has new information to share [...]
Frank Venturelli Sanctioned By NJ Regulator, FINRA
Broker Frank Venturelli Ordered To Pay Fine By NJ Regulator The New Jersey Bureau of Securities reported that it [...]
Sierra Income Corporation Suspends Repurchasing
Sierra Income Corporation is a non-traded business development company (BDC). Recently it suspended share repurchases and repurchases in the [...]
Todd Phillips Sanctioned, Involved In ProEquities Clients’ Disputes
Securities Broker Todd Phillips Serves Suspension As Securities Broker, Faces ProEquities Investors' Disputes About FIP LLC Purchases Soreide Law [...]
Robert MacNamee Facing Aegis, Newbridge Investor Disputes
Investors Dispute Sales Practices Of Securities Broker Robert MacNamee (Aegis Capital, Newbridge Securities) Soreide Law Group provides you with [...]
Gerry Sharpe Involved In Aegis Client Disputes
Broker Gerry Sharpe Facing Disputes From Aegis Capital Corp Clients Financial Industry Regulatory Authority (FINRA) BrokerCheck reports that investors [...]
Brian Rockowitz In Aegis Capital Corp Investor Disputes
Aegis Capital Corp Clients File Disputes About Securities Broker Brian Rockowitz It has come to the attention of Soreide [...]
George McCaffrey Barred, Faces NTB Investor Claim
FINRA Bars Securities Broker George McCaffrey Following Private Securities Transactions Investigation Soreide Law Group has news to share with [...]
Gregory Lewis Faces FINRA Sanctions Over StockKings
FINRA's Complaint Alleges Gregory Lewis' Misconduct Concerning StockKings The Financial Industry Regulatory Authority (FINRA) Department of Enforcement filed a [...]