Latest Securities Lawyer News

Navigating Artificial Intelligence (AI) Legal Risks in Merger and Acquisitions (M&A) Transactions: What Investors Need to Know Are you considering an acquisition of a company that develops or utilizes artificial intelligence (AI) tools? AI, especially generative AI technologies, are game-changers in today’s business landscape. However, they also bring unique legal challenges that can impact your […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: NI ADVISORS and their former registered representative, PETER T PO (Respondents). The Claimant is a retiree living in California. The lawsuit states that the Claimant is a very conservative investor and was looking for reliable income to sustain him through […]

On August 20, 2024, Gregory Alan Corrie was permanently barred from acting as a broker or otherwise associating with a broker/dealer firm by FINRA. Greg Corrie was discharged from CAMBRIDGE INVESTMENT RESEARCH, INC. of Boise, Idaho, on February 16, 2023, with allegations of, “Excessive use of UIT products.” He worked as a broker with Cambridge […]

BRIAN JOSEPH VISCONTI is currently with THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C. of Tampa, FL since March 8, 2022. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, BRIAN JOSEPH VISCONTI, has been in the securities industry for 13 years and has been listed with 7 firms. Visconti has 3 disclosures on his […]

On August 14, 2024, former UBS Financial Services Inc. of Newport Beach, California, broker, Luis E Nin, was fined $5,000 and given a one-month suspension by FINRA. According to a recent article in AdvisorHub, the ex-UBS broker placed 10 trades in a client’s account after allegedly finding out that the client had died. The article […]

A recent article in InvestmentNews, states that the Financial Industry Regulatory Authority Inc. (FINRA) has barred CHRISTOPHER B REYNOLDS (CHRISTOPHER BARRETT REYNOLDS), on August 16, 2024.  Reynolds had allegedly been forging clients’ signatures on annuities documents, with the goal of using proceeds of the liquidations of annuities to purchase units of a registered index-linked annuity […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC. (Respondent) The Claimant brings this lawsuit as a result of the Respondent and its former Financial Advisor, John Jay Kersey’s, alleged misconduct. According to FINRA’s BrokerCheck, NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC of Cincinnati, Ohio permitted […]

Financial Industry Regulatory Authority (FINRA) barred securities broker Reuben Lamont Brown [CRD: 7089559, Southlake, Texas], and Edward Jones investors complained about him, according to disclosures on BrokerCheck. Evidently, Reuben Brown worked for Edward Jones from August 2, 2019, to September 2, 2022. Keep reading to learn more about the securities broker’s disclosures. Brown Expelled By […]