Soreide Law Group (888-760-6552) obtained the following information on FINRA’s website under, “Disciplinary and Other FINRA Actions,” May, 2021. On March 19, 2021, Edmund Roger Zack (CRD #2215116, West Hempstead, New York) was issued an AWC in which Zack was assessed a deferred fine of $10,000, suspended from association with any FINRA member in all […]

NorthStar Healthcare REIT Investor Losses Because Of Your Financial Advisor Soreide Law Group has come across new information in regard to NorthStar Healthcare Income REIT. Notably, investors may have experienced considerable losses by investing in NorthStar. Here’s some information regarding the REIT, and what you could do if you invested in real estate investment trusts […]

WOONG SEONG HWANG (PETER HWANG, WOONG HWANG) CRD#: 4400271, has been fined $5,000.00 and suspended for 45 business days (7/6/2021 - 9/7/2021) by FINRA.  FINRA also stated that they have added a sanction that Hwang, within 90 days of his re-association with a FINRA member firm, will attend and satisfactorily complete 20 hours of continuing […]

Infinity Q Diversified Alpha Fund Losses Because Of Financial Advisors Soreide Law Group is evaluating possible investor disputes against financial advisors and securities brokers who made unsuitable recommendations regarding Infinity Q Diversified Alpha Fund. Earlier this year, Infinity halted distributions to investors. Things are still a mess. Here’s a quick snapshot of what is going […]

Soreide Law Group obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions” for May of 2021: Jeffrey Alan Fladell (CRD #209278, Boca Raton, Florida) According to FINRA, on March 25, 2021, an Acceptance, Waiver and Consent (AWC) was issued in which Jeffrey Alan Fladell was assessed a deferred fine of $5,000 […]

Newbridge Securities Broker John Boatright Targeted In Disputes About Churning, Misrepresentation FINRA BrokerCheck shows that securities broker John Richard Boatright (CRD#: 2545676, Duluth, Georgia) is involved in investor disputes. It appears that this securities broker worked for firms including JP Turner and Company (2015), Summit Brokerage Services (2015 to 2016), and Newbridge Securities Corporation (2016 […]

Triad Advisors Securities Broker Mark Just In Disputes Regarding Potentially Unsuitable Alternative Investments Soreide Law Group is reviewing possible investor lawsuits involving Mark William Just (CRD#: 1138738, Indianapolis, Indiana), who works for Triad Advisors as securities broker and for The Just Company as financial advisor. Specifically, the Financial Industry Regulatory Authority (“FINRA”) issued Just sanctions […]

Churning, Misrepresentation Alleged In Investment Disputes About Carlos Rodriguez The Financial Industry Regulatory Authority (“FINRA”) reports new information regarding a barred broker by the name of Carlos Antonio Rodriguez (CRD#: 4363000, Plano, Texas). This broker worked for firms Merrill Lynch and UBS Financial Services. Notably, FINRA expelled Rodriguez as securities broker in October 2017. Also, […]