Soreide Law Group has been contacted by an investor experiencing losses in GWG L Bonds, due to the alleged recommendation of broker/investment advisor, THOMAS CAINE SHULTZ (THOMAS SHULTZ, THOMAS C SHULTZ).  Shultz is currently registered both as a broker and investment advisor with REALTA EQUITIES, INC of Phoenix, Arizona since 7/25/2023.  He was previously registered with […]

Soreide Law Group is investigating potential investor claims involving TechCreate Group Ltd. (TCGL) stock, particularly whether brokers or financial advisors improperly recommended this security despite emerging warning signs. TCGL is a publicly traded foreign holding company whose shares were subject to an SEC trading suspension, raising serious concerns for investors. There is significant adverse regulatory […]

Investors might have sustained losses due to securities broker Bradley Owen Davidson [CRD: 5142256, Mission Viejo, California], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Davidson has been registered with Emerson Equity LLC since February 2, 2024, and previously worked for firms including Secure Asset Management LLC from February 22, […]

Investors potentially experienced sales practice violations by securities broker Jenna Lynn Spurrier (also known as Jenna Spurrier Stucker) [CRD: 4284511, Indianapolis, Indiana], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Spurrier worked for Thurston Springer Miller Herd Titak Inc. from June 2, 2016, to the present, and Thurston Springer Advisors since August 25, […]

Investors apparently complained about securities broker Richard Timothy Kersting Jr. [CRD: 1835418, Naples, Florida], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kersting worked for Ameriprise Financial Services LLC from October 20, 2021, to the present, and previously for Bruderman Asset Management LLC and Bruderman Brothers LLC from March 18, 2015, […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: LPL FINANCIAL LLC (Respondent). According to the lawsuit, the Claimant was solicited by the Respondent’s Financial Advisor, MARIO BRIAN BARONE (MARIO B BARONE), to invest in a speculative non-traded REIT now known as Pacific Oak Strategy Opportunity REIT. The lawsuit […]

Soreide Law Group is investigating potential investor claims involving the recommendation and sale of CS1031 The Louis Apartments DST by securities brokers and financial advisors. This investment is a Delaware statutory trust (DST) sponsored by Capital Square Realty Advisors LLC, structured as a passive real estate offering frequently used in 1031 exchanges. Recent adverse developments […]

Investors potentially incurred losses because of securities broker Araya Mesfin [CRD: 4828859, Atlanta, Georgia], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mesfin worked for UBS Financial Services Inc. from January 13, 2014, to February 1, 2024, and has been registered with Morgan Stanley since January 18, 2024. Investors are […]

Investors have reportedly disputed the sales practices of securities broker Sean Burr [CRD: 6421939, West Hills, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Sean Burr worked for Centaurus Financial Inc. starting April 22, 2015, as a broker and June 8, 2015, as a financial advisor. Keep reading to discover more about […]