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 […]

Broker Susan Welo Involved In Investor Disputes Soreide Law Group is looking into potential investor disputes against securities broker Susan Welo [CRD#: 1884407, Mayville, North Dakota]. Apparently, North Dakota Securities Department brought a Cease and Desist action against the securities broker, who worked for Cetera Advisor Networks and Securities America. Not only that, but Welos' […]

Soreide Law Group is investigating claims of clients whose brokers/dealers or financial advisors recommended purchasing First Trust MLP and Energy Income Fund (NYSE: FEI) and have experienced losses in this Master Limited Partnership (MLP) which can be an extremely high-risk and complex investment, particularly for the conservative investor. First Trust MLP&Energy Income Fund (FEI) recently […]

Broker Jeffrey Larson Involved In Third Investment Dispute Investors are coming forward with disputes concerning securities broker Jeffrey Scott Larson [CRD#: 4836889, Kirkwood, Missouri]. Notably, the securities broker, who associated with Larson Financial Securities from July 2010 to August 2017, reports 3 investor disputes on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck. Apparently, Larson Financial Securities […]

Did your broker/dealer or financial advisor recommend FS Energy and Power Fund (FSEP)?  Several investors have contacted Soreide Law Group after having experienced financial losses due to their investment in FSEP. FS Energy and Power Fund, according to Bloomberg, operates as a closed-end management investment company. FSEP focuses on investment in debt and equity securities. […]