If you invested in Silicon Valley Bank (SVB) preferred bonds and lost money, you may be entitled to compensation. SVB filed for bankruptcy in March 2023, and investors who lost money as a result of the bankruptcy may be able to bring a claim before the Financial Industry Regulatory Authority (FINRA). What are SVB preferred […]

If you invested in First Republic Bank preferred stock and lost money, you may be entitled to compensation. First Republic Bank filed for bankruptcy in March 2023, and investors who lost money as a result of the bankruptcy may be able to bring a claim before the Financial Industry Regulatory Authority (FINRA). What is First […]

Soreide Law Group, based in Florida, is currently investigating claims made against the former CROWN CAPITAL SECURITIES, LP of Land o’ Lakes, Florida, broker, DENNIS MICHAEL HAYWOOD II (DENNIS M HAYWOOD II, DENNY HAYWOOD). According to FINRA’s BrokerCheck, available to the public on FINRA’s website, DENNIS M HAYWOOD II has been in the securities industry […]

Soreide Law Group is currently investigating claims against broker, Jason Walsh, currently with PHX Financial, Inc. of Hauppauge, New York.  According to FINRA’s BrokerCheck there is a “Customer Dispute” alleging damages of $3,767,261.79. Walsh was previously listed with Network 1 Financial Securities also of Hauppauge, New York. Jason Walsh’s BrokerCheck CRD report lists 4 Disclosures. […]

DOUG MARSHALL MCKELVEY (CRD#: 4502849, DOUGLAS MCKELVEY), a former Morgan Stanley of Southlake, Texas, broker who was barred by FINRA in August, 2022, has pleaded guilty to misappropriating approximately $1.5 million from clients.  This was reported by the US Attorney’s Office for the Eastern District of Texas. According to the US Attorney’s Office, 58 year-old […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: DEMPSEY LORD SMITH, LLC.(Respondent) The Claimant is a resident of North Carolina. The lawsuit states that the Claimant maintained an investment relationship with the Respondent and their former Financial Advisor, Joe Pat Roop. Joe Pat Roop is not named in […]

If your financial advisor recommended Silicon Valley Bank perpetual preferred stock you may be able to recover some or all of your losses. The Financial industry Regulatory Authority or “FINRA” offers a dispute resolution forum where investors can file claims in arbitration against their financial advisors who may have sold them unsuitable investments. Many seniors […]

Soreide Law Group is investigating possible investor claims against securities broker William Forrest Winchester III (also known as Bill Woods) (CRD: 4404327, Chattanooga, Tennessee). Notably, FINRA sanctioned the securities broker, who worked for Raymond James Financial Services Inc. Allegedly, Winchester borrowed client funds and engaged in an undisclosed outside business activity. Here is a brief […]

Soreide Law Group is investigating possible investor claims against securities broker Allen Hershberg (CRD: 1112312, Beverly Hills, California). Notably, FINRA sanctioned the securities broker, who worked for Morgan Stanley. Allegedly, Hershberg failed to provide information and documents to FINRA when it investigated potential FINRA rule violations governing outside business activities. Here is a brief summary […]