FINRA Suspends Portfolio Advisors Alliance's Craig Siegel Soreide Law Group is looking into potential investor disputes against securities broker Craig Siegel [CRD#: 5759415, New York, New York]. Evidently, Siegel worked for Portfolio Advisors Alliance between 2013 and 2018. Notably, FINRA suspended Siegel between May 10, 2019 and July 16, 2019 for non-compliance. Not only that, […]

Broker Mike Libmann Purportedly Misrepresented, Concealed Information Investors are coming forward with disputes about securities broker Mike Libmann [CRD#: 1323896, Quincy, Illinois]. Evidently, Libmann, who associated with MML Investors Services until 2018, reports 4 investor disputes on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck. Notably, his clients suggest that he concealed important information concerning investments that […]

Wedbush and Hilltop Clients Indicate That Broker Mark Augusta Committed Sales Practice Violations Soreide Law Group is investigating potential investor claims against broker Mark Fred Augusta [CRD#: 1333913, Del Mar, California]. Notably, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck identifies 19 or more clients who seemingly experienced losses because of Augusta, who worked for Wedbush Securities […]

FINRA Revokes James Lamont's Securities Registration Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming information in regard to securities broker James Marten Lamont [CRD#: 2846228, San Francisco, California], who worked for securities firms Independent Financial Group (2006 to 2015) and Whitehall-Parker Securities (2015 to 2019). Evidently, FINRA revoked Lamont’s registration on March 13, […]

Soreide Law Group is currently investigating claims on behalf of investors who have contacted us regarding losses in Nuveen All Cap Energy MLP Opportunities Fund (NYSE: JMLP) and Nuveen Energy MLP Total Return Fund (NYSE: JMF) through the recommendations of their broker/dealers or financial advisors. According to Yahoo Finance, Nuveen All Cap Energy MLP Opportunities […]

LPL Broker Don Woods Allegedly Recommended, Sold Unsuitable Alternative Investments Investors are voicing complaints about securities broker Donald “Don” Stephen Woods [CRD#: 727894, Louisville, Kentucky]. Apparently, the securities broker worked for LPL Financial LLC between July 1, 2010 and January 20, 2017 and then worked for Thurston Springer Financial from December 22, 2016 to August […]

SII Clients Indicate Broker Joel Weber Misrepresented Annuity Income Riders Soreide Law Group is investigating potential investor claims of misrepresentation against securities broker Joel Howard Weber [CRD#: 1717681, Sartell, Minnesota]. Evidently, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck reports that five clients complained about the broker, who associated with SII Investments from 2002 to 2017 and […]

FINRA Sanctions Broker David Fleming For Not Paying Customer Arbitration Award Investor Alert! FINRA reports alarming information in regard to securities broker David Wilson Fleming Jr. [CRD#: 1021968, White Plains, New York]. Notably, FINRA suspended Wilson twice. In addition, at least two investors raised serious concerns about the securities broker, who most recently worked for […]

Broker James Knee Allegedly Misappropriated Funds Investor Alert! FINRA BrokerCheck discloses troubling information in regard to securities broker James “Jim” Edward Knee [CRD#: 1852920, Concord, New Hampshire]. Supposedly, at least 8 clients took issue with the securities broker, who worked for Ameriprise Financial Services between 2012 and 2015 and who also worked for Voya Financial […]