Soreide Law Group filed a FINRA arbitration on behalf of our client (Claimant) against: AUSDAL FINANCIAL PARTNERS, INC. andAMERICAN TRUST INVESTMENT SERVICES, INC.(Respondents) The Claimant is 70 years old and resides in Illinois. The Claimant maintained accounts with the Respondents, and brings this claim, the lawsuit alleges, as the result of the Respondents’ mismanagement of […]

Soreide Law Group is investigating possible investor claims against securities broker Michael Scott Desando (CRD:  1849321, Red Bank, NJ). Evidently, FINRA sanctioned the securities broker, who worked for Network 1 Financial Securities Inc. Allegedly, Desando engaged in excessive trading. Here is a brief summary of FINRA’s allegations against Desando. FINRA Issues Sanctions To Michael Desando […]

Soreide Law Group is investigating possible investor claims against securities broker Bill Burks (also known as William Charles Burks II) (CRD:  2944992, Flower Mound, TX). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Centaurus Financial Inc. Evidently, one or more investors alleged […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: KATALYST SECURITIES, LLC, and their former registered representative, PETER K JANSSEN (Respondents). The lawsuit alleges that in 2017, KATALYST SECURITIES broker, PETER K JANSSEN convinced the Claimant to invest her life savings of $94,930.40 into a crypto venture in digital […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Amanda Yvonne Berry (also known as Amanda Yvonne Coleman) (CRD:  5651609, Oklahoma City, OK). Evidently, investors disputed the sales practices of the securities broker, who worked for MML Investors Services LLC. Additionally, the securities broker discloses a regulatory enforcement action. However, Berry denies […]

Annuities are contracts and vary from company to company about their terms and conditions. As a securities lawyer who has reviewed hundreds of annuity contracts for our clients there are several concerns everyone should be aware of before locking up your money. The first is the money is truly locked up as it has to […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Rhett Douglas Bedwell (CRD:  5664392, Rogers, AR). Notably, investors disputed the sales practices of the securities broker, who worked for LPL Financial LLC. Additionally, the securities broker discloses a regulatory enforcement action. However, Bedwell denies the allegations of sales practice violations. Read on […]

Soreide Law Group is investigating possible investor claims against securities broker Jeffrey Daniel Basford (CRD:  5077566, Westport, CT). Evidently, FINRA sanctioned the securities broker, who worked for David Lerner Associates Inc. Allegedly, Basford failed to testify when FINRA investigated the securities broker for possibly violating FINRA rules. Here is a brief summary of FINRA’s allegations […]

Investors have come forward with complaints about securities broker James Baroutas (CRD:  1252613, New York, NY). Evidently, the securities broker, who worked for B. Riley Wealth Management, discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, B. Riley Wealth Management clients allege that Baroutas engaged in unauthorized trading. For more on these disclosures […]