Soreide Law Group is currently investigating potential claims made by investors who have contacted us alleging that WILLIAM COLIN SEIBERT, currently a broker and investment advisor with RAYMOND JAMES & ASSOCIATES, INC. in Louisiana, allegedly recommended they purchase large concentrations of the high-risk oil and gas stocks, Linn Energy and Memorial Production Partners LP (MEMP). […]

Investment Planners Broker Jim Parrelly Supposedly Caused Investors' Losses Investor Alert! Financial Industry Regulatory Authority (“FINRA”) shows that James “Jim” Anthony Parrelly (CRD#: 728368, Dearborn, Michigan) is a problem securities broker. Notably, there are 12 disclosures on Parrelly’s record which all suggest that he did something wrong. This includes not just investor complaints or lawsuits […]

Alexander Capital Broker Jody Thompson Might Have Sold You Bad Alternative Investments The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of sales practice violations by Alexander Capital securities broker Jody Ethan Thompson (CRD#: 2391190, New York, New York). In fact, Thompson discloses three investment disputes on his FINRA BrokerCheck Report which signals that he […]

Garden State Broker Ronald Richer Barred By FINRA Soreide Law Group is determining whether to bring lawsuits on behalf of investors against securities broker Ronald Richer (CRD#: 2988381, New York, New York). Namely, the Financial Industry Regulatory Authority (“FINRA”) indicates through BrokerCheck that Richer has nine disclosures on his record. These disclosures not only concern […]

On September 9, 2020, JODIE LANE (Also known as: JODIE GRUBER, JODIE PIKE) CRD#: 5069112, was fined $10,000 and suspended for four months by FINRA, for allegedly failing to follow her former firm’s (LPL Financial of Franklin, Wisconsin) policies on disclosing financial dealings with clients. Without admitting or denying FINRA’s findings, JODIE LANE consented to […]

Clients Of Forta, Presidental Brokerage Take Aim At Broker Greg Williams Who Allegedly Breached A Fiduciary Duty Soreide Law Group is contemplating whether to bring investment-related lawsuits against securities broker Gregory Jon Williams (CRD#: 1561089, Greenwood Village, Colorado). The most alarming thing about Williams – who is in his 10th year as a Forta Financial […]

PETER VINCENT IANACE (PETER V IANACE) CRD#: 3238078 was barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm, according to FINRA’s BrokerCheck, on September 3, 2020.  Ianance was previously registered both as a broker and as an investment advisor.  According to FINRA, the former Merrill Lynch, Frisco, Texas, and […]

Clients Of UBS Indicate Fred Kort Sold Unsuitable, Misrepresented Investments The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of misconduct by securities broker Frederick Maximilian Kort (CRD#: 5376727, Chicago, Illinois). Notably, four investors brought complaints or lawsuits about the securities broker, who worked for UBS Financial Services between August 2007 and May 2018 at […]

STEVEN DALE RODEMER (CRD#: 830561) a former broker who was recently listed with Stifel, Nicolaus & Co of Pueblo, Colorado, had a Securities and Exchange Commission (SEC) complaint filed against him in U.S. District Court for the District of Colorado on September 3, 2020, alleging he took money from a widowed client’s account and took […]