Soreide Law Group is investigating claims that securities firms and/or financial advisors may have recommended to their clients they invest in Hartman vREIT XXI Inc and Silver Star Properties REIT Inc (formerly Hartman Short Term Income Properties XX Inc.). Investors may have claims to recover their investment losses through a securities arbitration before the Financial […]

FINRA barred securities broker David Lee Jerke [CRD: 5129935, Tacoma, Washington] and an investor complained about him, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. David Jerke worked for LPL Financial LLC from January 14, 2021, to December 23, 2024, and for Securities America Inc. from November 6, 2020, to January 14, 2021. […]

Investors might have sustained losses due to securities broker Leroy Born [CRD: 4052650, Tustin, California], according to disclosures on FINRA BrokerCheck. Evidently, Leroy Born has worked for Wells Fargo Clearing Services LLC since June 23, 2017, and has also worked for Wells Fargo Advisors since June 26, 2017. Below, you can find important information about […]

In July of 2024, LifeMark Securities Corporation and its registered representative, Geoffrey (Geoff) Wolterstorff, were censured by the Securities and Exchange Commission (SEC) for allegedly violating Regulation Best Interest (“Reg BI”) rules. LifeMark Securities Corporation was censured, ordered to pay $4,410 in disgorgement, and fined a civil penalty of $85,000. Geoffrey Wolterstorff was censured, ordered to […]

Investors possibly experienced sales practice violations due to securities broker Paul M. Getty [CRD: 6470002, San Mateo, California], according to publicly available disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Paul Getty worked for Lightpath Capital Inc. from October 30, 2017, to September 7, 2024, and has worked for Emerson Equity LLC since August […]

One or more investors apparently complained about securities broker Ted Arthur Boutis [CRD: 2951760, Melville, New York], according to disclosures on FINRA BrokerCheck. Evidently, Ted Boutis has worked for Ameriprise Financial Services LLC since November 13, 1997, as a broker, and since October 5, 2006, as an investment adviser. These registrations are tied to his […]

Investors potentially experienced losses because of securities broker William Roy Bredt (also known as Bill Bredt) [CRD: 1621507, West Conshohocken, Pennsylvania], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that William Bredt has worked for Raymond James Associates Inc. since March 18, 1999, as a broker, and since January 25, 2010, […]

Investors possibly experienced losses because of securities broker Eric Vance Kubiak [CRD: 4637674, Cheektowaga, New York], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Eric Kubiak worked for Ameriprise Financial Services LLC from August 12, 2008, to April 6, 2023. Check out the following information about the disclosures involving this […]

Investors potentially experienced sales practice violations due to securities broker Edward Charles Fredericks [CRD: 2202730, Milford, Connecticut], according to disclosures on FINRA BrokerCheck. It appears that Fredericks has worked for Equitable Advisors LLC since June 1, 2005, working out of both Milford and Stratford, Connecticut. Keep reading to learn more about the disclosures involving Fredericks […]