Broker Jim Schwartz Allegedly Made Unauthorized, Unsuitable Transactions Causing Losses To Clients Soreide Law Group is reviewing potential investor claims against Joseph Gunnar broker James “Jim” Bradley Schwartz (CRD#: 3043085, New York, New York). Apparently, FINRA BrokerCheck reports that the securities broker, who worked for Joseph Gunnar (2016-2017), First Standard Financial Company (2016) and Aegis […]

Did Your Financial Advisor Recommend Hornbeck Offshore Services (HOS, HOSSQ)? Soreide Law Group is reviewing possible investor lawsuits against financial advisors and securities brokers who may have wrongfully sold investments in Hornbeck Offshore (OTC: HOS, HOSSQ). Notably, on May 19, 2020, the Covington, Louisiana-based company filed for Chapter 11 bankruptcy protection in the United States […]

Did Your Broker Or Advisor Recommend Diamond Offshore Drilling? Soreide Law Group is reviewing investor claims against securities brokers or financial advisors who possibly improperly sold investments in Diamond Offshore Drilling, Inc. (NYSE: DO), an oil company based in Houston, Texas. Namely, on April 27, 2020, the company filed for Chapter 11 bankruptcy protection in […]

Valaris Plc (NYSE: VAL) Losses Because Of Your Securities Broker Or Financial Advisor? Soreide Law Group is reviewing possible investor claims against securities brokers and financial advisors who inappropriately recommended or even misrepresented investments in Valaris Plc (NYSE: VAL). Namely, as of May 22, 2020, VAL was priced at $0.33. Over the last 5 years, […]

Broker Sold You Aegean Marine Petroleum Network or Other Risky High Yield Oil and Gas Investments?   Soreide Law Group is investigating bond sales such as those from Aegean Marine made to clients by stock brokers that were inappropriately risky.  Despite the recent announcement the fed will be buying publically traded bond ETF's it does not […]

Did Your Financial Advisor Recommend PHI, Inc. Bonds? Soreide Law Group is reviewing possible claims against securities brokers and financial advisors who possibly recommended bonds issued by PHI, Inc. (OTC: PHIKQ, PHIIQ) – a Lafayette, Louisiana-based helicopter services company which emerged from Chapter 11 bankruptcy in September 2019. Who Is PHI, Inc.? Apparently, PHI, Inc. […]

On May 13, 2020, ARTHUR STEWART HOFFMAN (ART S HOFFMAN) CRD#: 3193754, was barred by the Financial Industry Regulatory Authority Inc. (FINRA) from acting as a broker or otherwise associating with a broker-dealer firm. Hoffman, a former broker with AMERIPRISE FINANCIAL SERVICES, LLC of Glendale, AZ, was barred for allegedly failing to participate in an […]

DONALD STEPHEN WOODS (DON STEPHEN WOODS, DONALD S WOODS) CRD#: 727894, a broker formerly with LPL FINANCIAL LLC and THURSTON SPRINGER FINANCIAL of LOUISVILLE, KY, was suspended and fined by FINRA for his alleged handling of the sales and recommendations of real estate investment trusts, also known as REITs. Woods received a six months suspension […]

Great American Investors Clients Allegedly Receive Bad Advice From Broker Bill Baum Soreide Law Group is looking into potential investor disputes against securities broker William “Bill” Baum [CRD#: 1528847, Overland Park, Kansas]. Apparently, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that at least 8 clients took issue with the securities broker, who joined Great American […]