Latest Securities Lawyer News

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 […]

Soreide Law Group is investigating claims that Oppenheimer & Co. Inc. allegedly failed to supervise their brokers, allowing them to operate an alleged Ponzi scheme, devised by former Oppenheimer registered representative, John Woods of Marietta, Georgia. This alleged Ponzi scheme was called Horizon Private Equity III and was operated through John Woods’ firm Southport Capital. […]

Soreide Law Group has been contacted by investors suffering devastating financial losses due to their brokers/dealers or financial advisors recommendations in the non-traded Real Estate Investment Trust, Moody National REIT II. In March of 2021, Moody National REIT II shares were trading at approximately $10.00 per share, which was around 60% loss from what the […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against the following: NEWBRIDGE SECURITIES CORPORATION (Respondent)  The Claimant resides in Georgia, and has been retired for four years after selling his business.  According to the lawsuit, in 2017 the Claimant was referred to NEWBRIDGE SECURITIES CORPORATION broker, John Richard Boatright […]

Medley LLC Files Bankruptcy The investment loss recovery lawyers at Soreide Law Group are reviewing possible investor claims against securities brokers and financial advisors who may have recommended investments in Medley LLC, run by Medley Management Inc. -- an alternative asset management firm. Notably, Medley LLC has filed for bankruptcy and investors might face large […]

Clients Of Hilltop Securities Dispute Sales Practices Of Broker Walter Valenzuela Soreide Law Group has new information to share with you concerning securities broker Walter Roland Valenzuela (CRD#: 2280224, San Diego, California). Evidently, 14 investors filed disputes about this securities broker. It appears that six investors filed disputes since 2020 alleging sales practice violations by […]

Broker Frank Venturelli Ordered To Pay Fine By NJ Regulator The New Jersey Bureau of Securities reported that it sanctioned securities broker Frank Venturelli (CRD#: 6403468, Bay Ridge, New Jersey). Evidently, he is also known by the name Frank Vaughn. Notably, the securities broker, who worked for FINRA-member firms First Standard Financial Company (2014 to […]