Latest Securities Lawyer News

Sierra Income Corporation is a non-traded business development company (BDC). Recently it suspended share repurchases and repurchases in the event of death or disability. Previously Sierra Income Corporation announced a review process to evaluate strategic alternatives for the company, which could possibly mean a sale of the company’s assets, a merger, or listing on a […]

Securities Broker Todd Phillips Serves Suspension As Securities Broker, Faces ProEquities Investors' Disputes About FIP LLC Purchases Soreide Law Group provides you with important information relating to sanctions and investment disputes reported on the Financial Industry Regulatory Authority (FINRA BrokerCheck record of securities broker David Todd Phillips (CRD#: 3094195, Gilbert, Arizona). Namely, Phillips, who worked […]

Investors Dispute Sales Practices Of Securities Broker Robert MacNamee (Aegis Capital, Newbridge Securities) Soreide Law Group provides you with the latest on BrokerCheck as it relates to securities broker Robert Patrick MacNamee (CRD#: 2607475, Red Bank, New Jersey). Specifically, this securities broker, who formerly worked for Aegis Capital Corp (2016 to 2020) and who worked […]

Broker Gerry Sharpe Facing Disputes From Aegis Capital Corp Clients Financial Industry Regulatory Authority (FINRA) BrokerCheck reports that investors disputed securities broker Gerald “Gerry” Richard Sharpe Jr. (CRD#: 2109210, Red Bank, New Jersey). It appears that Sharpe is an Aegis Capital Corp securities broker (2016 to present) and also worked for securities firms JW Barclay […]

Aegis Capital Corp Clients File Disputes About Securities Broker Brian Rockowitz It has come to the attention of Soreide Law Group through Financial Industry Regulatory Authority (FINRA) BrokerCheck that there are investor disputes filed against securities broker Brian David Rockowitz (CRD#: 1892992, Hauppauge, New York). Specifically, five investors who allegedly experienced damages because of the […]

FINRA Bars Securities Broker George McCaffrey Following Private Securities Transactions Investigation Soreide Law Group has news to share with you regarding sanctions and investor claims relating to George Louis McCaffrey (CRD#: 847377, Englewood, Colorado). Specifically, the securities broker, who worked for NTB Financial Corporation from 1989 through 2017, is no longer allowed to be a […]

FINRA's Complaint Alleges Gregory Lewis' Misconduct Concerning StockKings The Financial Industry Regulatory Authority (FINRA) Department of Enforcement filed a complaint against securities broker Gregory Antonius Lewis (CRD#: 2793976, St. Petersburg, Florida). Specifically, the securities broker, who worked for StockKings Capital LLC since June 2013, is accused of misconduct relating to private securities offerings. Soreide Law […]

Sandlapper Securities Broker Kevin Nevin Barred, Facing Investor Disputes Soreide Law Group wants to share some important information with you in regard to securities broker Kevin Mark Nevin (CRD#: 2460059, Edina, Minnesota). Evidently, Nevin worked for firms Sandlapper Securities (2015 to 2019) and Dempsey Lord Smith LLC (2019 to 2021). FINRA BrokerCheck shows that Nevin […]

Worden Capital Managment Clients File Disputes Concerning Broker Christ Baltas The Financial Industry Regulatory Authority (“FINRA”) reported that investors filed disputes about securities broker Christ Elias Baltas (CRD#: 2570499, Melville, New York). Namely, two investors filed disputes about Baltas’ sales practices. Those disputes seem to concern his actions while working for Worden Capital Management (Melville, […]