Latest Securities Lawyer News

Attention investors who purchased stock symbol “GER” the “Goldman Sachs MLP Fund” before January 2020. GER was trading as high as $65 in 2018 and in 2020 crashed down to as low as $6.57. Despite oil and energy prices surging to new all time highs across the board the GER Goldman MLP fund currently only […]

The Financial Industry Regulatory Authority Inc. (FINRA) announced in a news release that it has ordered Joseph Stone Capital LLC to pay restitution of approximately $825,000 to clients whose accounts were excessively traded by the firm’s registered representatives. In related settlements, FINRA suspended eight current or former Joseph Stone representatives and required them to pay […]

Soreide Law Group is investigating possible investor claims against securities broker Cass J. Jenkins [CRD#: 4304584, Fort Worth, Texas]. Specifically, FINRA BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Merrill Lynch Pierce Fenner Smith Incorporated. Evidently, one or more clients allege sales practice violations in these disputes, including […]

Soreide Law Group is investigating possible investor claims against securities broker Dana H. Davis [CRD#: 1707708, Boca Raton, Florida]. Specifically, FINRA BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Newbridge Securities Corporation, First Montauk Securities Corporation, and Gilford Securities. Evidently, one or more clients allege sales practice violations […]

Soreide Law Group is investigating possible investor claims against securities broker Scott Michael Rosenberg [CRD#: 2754292, New York, New York]. Specifically, FINRA BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for UBS Financial Services. Evidently, one or more clients allege sales practice violations in these disputes, including misrepresentations and […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: DOMINION INVESTOR SERVICES, INC. and their registered representative, LANCE C WALSTON (Respondents). Walston has been registered with this firm, located in San Antonio, Texas, since 8/18/2017. The Claimant, on or about 2017, along with his wife, opened accounts with DOMINION […]

Soreide Law Group is investigating possible investor claims against securities broker John Lee [CRD#: 2950037, Fort Worth, Texas]. Specifically, FINRA BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Cambridge Investment Research. Evidently, one or more clients allege sales practice violations in these disputes. Here is a brief summary […]

Soreide Law Group is investigating possible investor claims against securities broker Rodger Sprouse [CRD#: 5483578, Lee's Summit, Montana]. Specifically, FINRA BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Titan Securities and Evolve Securities. Evidently, one or more clients allege sales practice violations in these disputes, including unsuitable recommendations. […]

Soreide Law Group is investigating possible investor claims against securities broker Timothy Joseph Scanlon [CRD#: 1968597, Scottsdale, Arizona]. Specifically, FINRA BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Arque Capital Ltd. and Merrill Lynch. Evidently, one or more clients allege sales practice violations in these disputes, including unsuitable […]