Ameritas Clients Indicate Tommy Lawrence Misrepresented Investments Soreide Law Group is investigating potential investor claims of bad business practices by securities broker Thomas “Tommy” H. Lawrence III [CRD#: 1839619, Chapel Hill, Tennessee]. Notably, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck reports that 3 clients contested the securities recommendations or sales of the securities broker, who worked […]

Soreide Law Group obtained the following information from FINRA’s website located under, “Disciplinary and Other FINRA Actions, April 2020.” Jeffrey Scott Nimmow (CRD #2693601, Merrimac, Wisconsin) According to FINRA, an Acceptance, Waiver, and Consent (AWC) was issued in which Jeffrey Scott Nimmow was barred from association with any FINRA member in all capacities. Without admitting […]

Investors Indicate That Larry Fawcett Misrepresented Investments Soreide Law Group is looking into potential investor disputes against securities broker Lawrence “Larry” John Fawcett Jr. [CRD#: 5851474, Los Angeles, California]. Notably, Financial Industry Regulatory Authority (“FINRA”) sanctioned the securities broker 3 times between 2017 and 2019. Also, at least 8 clients brought complaints about Fawcett, and […]

Broker Roger Owens Allegedly Deceived Investors Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming information in regard to securities broker Roger Lee Owens [CRD#: 2359204, Elkton, Maryland]. Notably, at least 4 clients filed formal disputes about the securities broker, who worked for Cetera Advisors between 2007 and 2019. Also, FINRA issued him a […]

CHARLES LAWRENCE DORAINE (CHARLES DORAINE) CRD#: 70411, a former NEXT Financial Group broker from Corpus Christi, Texas, was barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm on April 27, 2020. According to FINRA, without admitting or denying FINRA’s findings, CHARLES DORAINE consented to the sanction and to the […]

Soreide Law Group has been contacted by clients who have suffered losses after their broker/dealers or financial advisors recommended purchasing Voya Natural Resources Equity Income Fund (IRR). Soreide Law Group has successfully defended numerous clients in oil and gas loss cases.  This fund has decreased over -40% YTD. Due to the COVID 19 global pandemic, […]

Broker Jerry Raines Purportedly Misrepresents Woodbridge Investments To Clients Investors are filing disputes because of the actions of securities broker Jerry Raines [CRD#: 4578689, Kilgore, Texas]. Notably, the securities broker, who worked for Signal Securities and HD Vest Investment Services, reports 17 investor disputes on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck. Apparently, Signal Securities clients […]

Soreide Law Group is representing our clients (Claimants) in a FINRA arbitration against: WINTRUST INVESTMENTS LLC (Respondent) The Claimants reside in Florida, are retired and they are disabled. The Respondent and their Financial Advisor, Cataldo Panici (Carlo Panici), allegedly understood that the Claimants did not want to take any unnecessary risks with their investments. The […]

New Jersey Bureau Of Securities Revokes Ramon Herrera's Securities Agent, Investment Adviser Representative Registration Following FINRA Bar Soreide Law Group is investigating potential investor claims of bad business practices by securities broker Ramon Herrera [CRD#: 6021170, Jersey City, New Jersey]. Notably, New Jersey Bureau of Securities and Financial Industry Regulatory Authority (“FINRA”) imposed serious sanctions […]