STUART L PEARL (STU PEARL), was fined $5,000.00 and suspended for three months (7/6/2021 - 10/5/2021) by FINRA. Pearl was previously registered both as a broker and investment advisor.  He was last registered with David A. Noyes and Company of Indianapolis, Indiana from 07/10/2015 - 04/01/2019. On July 1, 2021, without admitting or denying FINRA’s […]

Stifel Nicolaus Broker Alex Perry Barred By FINRA, Facing Investor Disputes The Financial Industry Regulatory Authority (“FINRA”) barred Matthew Alexander “Alex” Perry (CRD#: 5985300, Columbia, Maryland). This means that he cannot work as a FINRA-member securities broker or otherwise associate with a FINRA-member brokerage firm. This decision is the result of an investigation by FINRA […]

Christian Murray Evans (Christian Evans), a representative previously registered both as a broker and as an investment advisor, has been suspended for three months and fined $5,000.00 by FINRA on July 16, 2021.  Evans was previously registered with Morgan Stanley of Dallas, Texas. Without admitting or denying FINRA’s findings, Christian Murray Evans consented to the […]

Investors File Disputes About Heath Grossman (Silver Oaks Securities, JB Capital) Soreide Law Group provides you with an important update regarding Heath Geoffrey Grossman (CRD#: 4018002, Wethersfield, Connecticut). Evidently, Grossman worked as a securities broker with Silver Oak Securities (July 2012 to April 2017), and is a financial advisor with JB Capital as of April […]

According to FINRA’s BrokerCheck, there is a pending “Regulatory” disclosure dated July 29, 2021, against: DANIEL JAMES O'NEILL (DAN O'NEILL, DANIEL J ONEILL) CRD#: 1358245 O’Neill’s latest employment from April 23, 2013 to July 29, 2021 was with AEGIS CAPITAL OF MELVILLE, NEW YORK. The allegations listed in the Regulatory complaint that is currently “pending,” […]

Did You Suffer Losses By Investing In Moody National REIT II? Soreide Law Group is investigating potential investor lawsuits against financial advisors or securities brokers who may have sold or recommended investments in Moody National REIT II Inc. Namely, in August 2021, the Board of Directors of this non-traded REIT suspended the valuation of its […]

Soreide Law Group has been investigating claims brought against the broker, SEAN JOSEPH KELLY (CRD#: 2294170). Kelly was most recently employed by, Center Street Securities, Inc. in Marietta Georgia from August of 2017 to October of 2018, and Capital Financial Services of Marietta, Georgia, from August of 2012 to August of 2017 according to BrokerCheck. […]

Soreide Law Group obtained the following list of brokers and financial advisors who were barred by FINRA as of September 30, 2020 from FINRA’s website, https://www.finra.org.Only those individuals who have been barred by FINRA as a result of a disciplinary decision or expedited proceeding will appear.  If the decision is not a final FINRA action […]

Horizon Private Equity III LLC Losses? Soreide Law Group is reviewing whether to bring lawsuits on behalf of those who invested in Horizon Private Equity III LLC, operated by John Justin Woods (CRD#: 1949233, Atlanta, Georgia). Notably, John Woods, who worked as an Oppenheimer Co. Inc. securities broker and financial advisor (January 2003 to December […]