Latest Securities Lawyer News

The Financial Industry Regulatory Authority (FINRA) has censured and fined CAMBRIDGE INVESTMENT RESEARCH, over the supervisory failures in the sale of the LJM Preservation and Growth Fund in 2018.  According to FINRA, without admitting or denying the findings, Cambridge agreed to the censure, the $400,000 fine, and to pay $3.13 million, plus interest, in restitution. […]

Spartan Capital Securities Broker Albert Foronda Sanctioned By FINRA, Involved In Investor Disputes Soreide Law Group has come across troubling information in regard to securities broker Albert Foronda (CRD#: 5737620, New York, New York). Evidently, the securities broker worked for Spartan Capital Securities LLC (August 2017 to present), Worden Capital Management LLC (2016 to 2017) […]

Soreide Law Group has been contacted by a former client of JOHN RICHARD BOATRIGHT (J RICHARD BOATRIGHT,RICHARD BOATRIGHT).  Boatright was their broker while he was a registered representative of NEWBRIDGE SECURITIES CORPORATION of Duluth, Georgia. The former clients sustained significant losses. Boatright is not currently listed as a broker. According to FINRA’s BrokerCheck, available to […]

Soreide Law Group is investigating claims made by investors who incurred financial losses due to the recommendations by their broker/dealers or financial advisors to purchase shares in CIM Income NAV Inc, previously known as Cole Real Estate Income Strategy Inc. CIM Income NAV Inc, is a publicly registered non-traded real estate investment.  They declared a […]

Barred Securities Broker Mark Cohen Involved In Investor Disputes Soreide Law Group is investigating potential investor disputes to be brought against securities broker Mark Cohen (CRD#: 4534879, New York, New York). Mainly, five or more investors disputed Cohen’s sales practices to date. In addition, FINRA barred him as a securities broker effective September 2018. Here’s […]

Wells Fargo Clients File Disputes In Regard To David Logsdon The Financial Industry Regulatory Authority (“FINRA”) indicates that investors filed disputes about securities broker David Michael Logsdon (CRD#: 4178266, Hailey, Idaho). Namely, there are five disputes reported on Logsdon’s record alleging sales practice violations. In addition, FINRA issued a fine and suspension to Logsdon for […]

Broker Mason Gann Targeted In Berthel Fisher Investor Disputes There is troubling information that you should know about it concerning Berthel Fisher securities broker Mason Wayne Gann (CRD#: 4030936, Dallas, Texas). Notably, the securities broker faces client disputes, regulatory sanctions and more. It seems that Gann potentially sold unsuitable and misrepresented investments. Here’s a closer […]

FINRA Bars LPL Financial Broker Scott Mason The Financial Industry Regulatory Authority (“FINRA”) indefinitely barred securities broker Scott Mason (CRD#: 3207386, Greenwood Village, Colorado). It seems that Mason, who worked for LPL Financial (2013 and 2017) and Voya Financial Advisors (2018), received two sets of sanctions by FINRA. Also, LPL clients complained about Mason. Notably, […]

Securities Broker Mark Yadron Involved In Disputes Alleging Bad Advice, Unauthorized Transactions Investor Alert! The Financial Industry Regulatory Authority (“FINRA”), who regulates most securities professionals in the United States, discloses investor disputes about securities broker Mark David Yadron (CRD#: 1520648, Prescott, Arizona). Notably, clients allege unsuitable and unauthorized trading by Yadron, who worked for Merrill […]