Broker Sold You Denbury Resources Inc. Bonds, Stock, or Other Risky High Yield Oil and Gas Investments?  Denbury Resources Bankruptcy? Soreide Law Group is investigating bond sales made to clients by stock brokers that were inappropriately risky.  Despite the recent announcement the fed will be buying bond ETF’s it does not mean the underlying companies […]

MICHAEL B MOUNTJOY (MICHAEL MOUNTJOY, MIKE MOUNTJOY) CRD#: 4421573, a former LPL Financial broker from Louisville, Kentucky, was suspended by the Financial Industry Regulatory Authority (FINRA)  from association with any FINRA member in any capacity for six months (5/4/2020 through 11/3/2020) and was fined $10,000 for allegedly participating in private securities transactions and engaging in […]

Soreide Law Group (888-760-6552) is representing clients against broker/dealers or financial advisors who sold their clients: PREFERREDPLUS Trust Series CZN-1 On April 29, 2020, Moody's Investors Service downgraded the rating of certificates issued by PREFERREDPLUS Trust Series CZN-1 as follows: U.S. $34,500,000 PREFERREDPLUS Trust Series CZN-1 Certificates, Downgraded to Ca; previously on August 15, 2019 […]

Broker Richard Brown Purportedly Suspended For Failure To Pay Arbitration Award Soreide Law Group is reviewing possible investor claims against broker Richard Lyndon Brown [CRD#: 3245291, Farmingdale, New York], who worked for securities firms Arive Capital Markets, Chelsea Financial Services and Brookstone Securities. Notably, Securities and Exchange Commission (“SEC”) and Financial Industry Regulatory Authority (“FINRA”) […]

Broker Brendan Shaw Allegedly Made Excessive, Unsuitable Trades Investor Alert! FINRA reports alarming information about Brendan Patrick Shaw [CRD#: 4721215, Scottsdale, Arizona]. Namely, Washington Securities Division sanctioned Shaw–a securities broker for Purshe Kaplan Sterling Investments (“PKS”) who also associated with Thomson Financial Advisors. Not only that, but at least 3 clients brought disputes about him. […]

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 […]