Soreide Law Group currently has a pending lawsuit against ROBERT M VANCE. Recently it was announced in an SEC Litigation Release that on September 24, 2024 the U.S. SECURITIES AND EXCHANGE COMMISSION (SEC) is now charging the California resident, ROBERT M VANCE, with failing to comply with Regulation Best Interest's Care Obligation when recommending high-risk […]

According to Yahoo Finance, Zoomcar Holdings, Inc. (NASDAQ: ZCAR) operates a marketplace for car sharing in India, Indonesia, and Egypt. Zoomcar connects hosts with guests, who choose from a selection of cars for affordable prices, promoting transportation solutions. Its platform offers vehicle searching and discovery, host and guest chat, vehicle and driver tracking, and ratings […]

According to FINRA’s BrokerCheck, available to the public on FINRA’s website, PETER LEWIS GOFFIN (PETER L GOFFIN), formerly of NEWBRIDGE SECURITIES CORPORATION of Boca Raton, Florida, has 10 “Customer Disputes” on his FINRA CRD report. Goffin may have allegedly sold GWG L Bonds to clients who suffered significant financial losses. The one other disclosure on […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker / financial advisor Ruben Javier Frezzotti [CRD: 4439983, Coral Gables, Florida]. Evidently, Ruben Frezzotti worked for Raymond James Associates Inc. from February 13, 2013, to October 10, 2023. Certain recent disclosures, including client disputes and an employment termination, have raised concerns regarding his conduct. […]

According to FINRA’s BrokerCheck, available to the public on FINRA’s website, RAJESH MARKAN, was permanently barred by FINRA on October 1, 2024.  Markan was previously registered with HILLTOP SECURITIES INC of Dallas, Texas, from 10/05/2022 - 08/12/2024.  Before Hilltop, Markan was registered with MERRIL LYNCH, PIERCE, FENNER & SMITH INC. of Flower Mound, Texas, from […]

Soreide Law Group, based in Pompano Beach, Florida, has filed a FINRA arbitration on behalf of their client (Claimant) against: EQUITABLE ADVISORS, LLC. (Respondent) The Claimant became a client of EQUITABLE ADVISORS, and their registered representative, VICTOR M TORRES in Ft. Lauderdale, Florida. According to the lawsuit, VICTOR M TORRES, specialized in selling variable insurance […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Michelle Christine Stebbins (also known as Michelle Christine Gillespie) [CRD: 4156378, Southfield, Michigan]. Stebbins joined Stifel Nicolaus Company, Incorporated on May 18, 2018, and previously worked for Wells Fargo Clearing Services LLC from July 23, 2008, to May 23, 2018. Recently, client disputes have […]

Soreide Law Group has been contacted by clients of KAREN YVONNE GEIGER (KAREN YVONNE BOWMAN, KAREN YVONNE TANASKA), who were sold GWG L Bonds and incurred significant losses. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, KAREN YVONNE GEIGER, has been in the securities industry for 35 years and was listed with […]