Broker, GEORGE R SHADIE (CRD#: 2513286), previously listed with NYLIFE SECURITIES, LLC, in Wilkes Barre, Pennsylvania, has 8 Disclosures on his CRD report, according to FINRA’s BrokerCheck, which is available to the public on FINRA’s website. Of these 8 Disclosures, 4 are Customer Disputes. In 2012, a client of GEORGE R SHADIE, while Shadie was […]

FINRA Bars NICHOLAS MADDOX of Laguna Niguel California The Financial Industry Regulatory Authority (“FINRA”) barred TCFG Wealth Management securities broker Nicholas Maddox (CRD#: 4732456, Laguna Niguel, California). Evidently, Maddox was either unresponsive to FINRA’s requests or did not comply with FINRA in its investigation. Here’s what we know so far: TCFG Wealth Management Terminates Nicholas […]

ATTENTION INVESTORS: AMERICAN FINANCE TRUST (AFIN) Losses? American Finance Trust (Nasdaq: AFIN), an externally managed REIT, has poorly performed causing serious concerns for investors. AFIN closed at $11.62 per share on May 24, 2019. This price is more than 50% less than the $23.56 estimated NAV which American Financial Trust stated in its June 2018 […]

INVESTOR ALERT: Losses From KATHERINE NISHNIC? Katherine Nishnic (CRD#: 2499553, Lexington, South Carolina) is a securities broker previously registered with J.P. Turner & Company, L.L.C. and Centaurus Financial, Inc. Notably, customers have complained about Nishnic’s sales practices. Indeed, the Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that three customers referenced Nishnic when disputing the suitability […]

Soreide Law Group has been contacted by investors who made purchased private placements with, ENRIQUE LOPEZ (RICK LOPEZ) CRD#: 2209385, of McAllen, Texas. These clients purchased private REITs, which included, Northstar Healthcare, FS Energy, and other private placements. Private placements are securities sold to a select group of investors in an effort to raise capital, […]

On March 22, 2019, EDWARD EARL MATTHES (ED MATTHES) CRD#: 2788055, a former independent contractor for Mutual of Omaha in Oconomowoc, Wisconsin, was barred by FINRA from acting as a broker or otherwise associating with a broker-dealer firm. Additionally, ED MATTHES has been permanently barred, according to a cease and desist order, from The Wisconsin […]

EDWARD MATTHES Cause You Investment Losses? Soreide Law Group is evaluating possible claims of misappropriation and other sales practice violations against Edward Matthes (CRD#: 2788055, Oconomowoc, Wisconsin). Namely, Matthes reports a shocking fifteen client disputes on FINRA BrokerCheck. Apparently, clients allegations suggest  Matthes misappropriated their investment funds and falsified account statements. Here is a summary […]

GABRIEL BLOCK (GABE BLOCK) CRD#: 2103543 was barred by FINRA from acting as a broker or otherwise associating with a broker-dealer firm for failing to respond to FINRA request for information. According to FINRA, in accordance with FINRA's Notice of Suspension and Suspension from Association letters dated February 12, 2019, and March 8, 2019, respectively, […]

TIMOTHY PROUTY Cause You Investment Losses? Soreide Law Group is evaluating possible claims of suitability, misrepresentation and other sales practice violations against Morgan Stanley Smith Barney securities broker, Timothy Prouty (CRD#: 4928098, Albuquerque, New Mexico). The Financial Industry Regulatory Authority (“FINRA”) shows on Prouty’s FINRA BrokerCheck Report that an investor successfully sued Morgan Stanley over […]