Soreide Law Group is currently investigating the customer complaints of SAGEPOINT FINANCIAL, INC. of Greensboro, North Carolina, financial advisor:  CHRISTOPHER R BICE (CUBBY BICE) CRD#: 3222439 According to FINRA’s BrokerCheck, available to the public on FINRA’s website, Cubby Bice has been in the securities industry for 21 years. Bice has 5 disclosures on his FINRA […]

Investors File Disputes About Hugh Barndollar's Alternative Investment Sales The Financial Industry Regulatory Authority (“FINRA”) reports troubling information relating to securities broker Hugh “Hobby” Ordway Barndollar III (CRD#: 3027317, Land O’ Lakes, Florida). Evidently, Barndollar worked as a securities broker for firms including  JP Turner Company, Newport Coast Securities and Crown Capital Securities. He has […]

Soreide Law Group obtained the following information on FINRA’s website under, “Disciplinary and Other FINRA Actions, December 2020.” CYNTHIA DIANE COWDEN (CYNTHIA CASE) (CRD#: 2054676, Bakersfield, California) was barred from association with any FINRA member in all capacities on October 21, 2020. Cowden was formerly listed with NPB Financial Group in Lake Isabella, California. Without […]

Broker Ed Matthes Reportedly Pleads Guilty To Wire Fraud The investment loss recovery team at Soreide Law Group brings you this Investor Alert in regard to barred securities broker Edward “Ed” Earl Matthes (CRD#: 2788055, Oconomowoc, Wisconsin). Evidently, Matthes worked for securities firms including Thrivent Investment Management and Mutual of Omaha Investor Services. Notably, Matthes […]

Numerous DH Hill Clients Allege Bad Advice In Disputes About Charles Stevens The Financial Industry Regulatory Authority (“FINRA”) charged Charles Thomas Stevens (CRD#: 1698058, St. Augustine, Florida) with violating FINRA rules. Not only that, but the securities broker, who worked for DH Hill Securities from 2006 to 2020, is involved in five investor disputes. These […]

Securities Broker Sam Aziz Allegedly Made Excessive, Unsuitable Trades In Wells Fargo Investor Accounts Investor Alert! FINRA BrokerCheck shows that investors brought lawsuits alleging sales practice violations by barred broker Sam Aziz (Sam Yehya, Sam Azizieh) (CRD#: 1721932, Dublin, Ohio). Evidently, Aziz worked for Wells Fargo (2012 to 2015), Coastal Equities (2015 to 2018) and […]

BARRY FRANKLIN CONNELL (BARRY F CONNELL) CRD#: 3070984, according to a recent article in Financial Advisor IQ, was barred by the SEC on Jan. 5, 2021, for stealing millions of dollars from clients.  Connell, a former financial advisor from Morgan Stanley of Ridgewood, New Jersey, was additionally sentenced to three years in prison. BARRY F […]

Clients File Investment Disputes About Broker Joel Lansat The investment loss recovery team at Soreide Law Group provides you with this Investor Alert concerning securities broker Joel Lansat (CRD#: 1623241, Palm Beach Gardens, Florida). FINRA BrokerCheck, which houses information about securities brokers, indicates that three investors challenged Lansat’s sales practices. Let’s take a look at […]

Soreide Law Group has filed a FINRA arbitration on behalf of their client (Claimant) against: NTB FINANCIAL CORPORATION (Respondent) The Claimant, who resides in Arizona and maintained investments with the Respondent at all times relevant, brings this action to recover alleged losses while maintaining an investment relationship with NTB FINANCIAL and its Financial Advisor, Henry […]