Soreide Law Group, on behalf of their client (Claimant), has filed a FINRA arbitration against: NYLIFE SECURITIES LLC (Respondent). The Claimant, who resides in Florida, maintained an investment relationship with the Respondent and their Financial Advisor, Alan New. According to FINRA’s BrokerCheck, Alan New has 15 disclosures on his CRD report. Many of the disclosures […]

The National Law Enforcement Museum defaulted on a January 1, 2019 payment due on some of the $103 million of bonds that financed its Washington, D.C., facilities near the Smithsonian, just months after it opened in October of 2018, according to an article from Bloomberg. The National Law Enforcement Museum opened in October, during what […]

Losses From Richard Ewing? FINRA BrokerCheck reports troubling allegations of sales practice violations from Ameriprise Financial Services securities representative Richard Ewing (Dickie Ewing) (CRD#: 3189321, Palm Beach Gardens, Florida). Notably, the securities broker, who joined Ameriprise Advisor Services Inc. in 2005 and transitioned to Ameriprise Financial Services in 2009, reports 4 client disputes and 2regulatory […]

Losses From Lance Ziesemer? Soreide Law Group is investigating possible claims of excessive trading and unsuitable trading by Feltl & Company securities broker Lance Ziesemer (CRD#: 2342087, Wayzata, Minnesota). Notably, Ziesemer reports on FINRA BrokerCheck that at least 14 clients brought complaints or arbitration claims about his sales practices. It appears from those investor claims […]

CRAIG ZABALA Barred By FINRA The Financial Industry Regulatory Authority (“FINRA”) announced that it barred John W. Loofbourrow Associates broker Craig Zabala (CRD#: 2740680, New York, New York). Apparently, Zabala, who worked for John W. Loofbourrow Associates from February 7, 2015 to April 29, 2019 in the capacity of an investment banking representative, operations professional, […]

Sanchez Energy Corporation (SNECQ) and certain of its subsidiaries have received interim approvals from the U.S. Bankruptcy Court for the Southern District of Texas related to the voluntary Chapter 11 petitions filed on Aug. 11, 2019. According to the Houston Chronical, Sanchez Energy Corporation (SNECQ), a Houston oil company that was once one of the […]

FINRA Issues Suspension, Fine To PlanMember's Raymond Menna The Financial Industry Regulatory Authority (“FINRA”) issued a 45 day suspension and $5,000 fine to PlanMember Securities Corporation broker Raymond Menna (CRD#: 1918097, Farmingville, New York, New York). Evidently, Menna, who worked for PlanMember Securities Corporation from August  12, 2010 to May 30, 2019, executed an Acceptance, […]

Did ALLAN MONTALBANO Excessively Trade Your Account? Soreide Law Group is evaluating possible investor claims against Worden Capital Management and National Securities Corporation broker and financial advisor Allan Montalbano (CRD#: 4507029, Garden City, New York).  Notably, at least 14 clients of Montalbano disputed his sales practices, and all but 3 disputes have settled through payments […]

Kentucky Department Of Financial Institutions Bars Edward Bosh Kentucky Department of Financial Institutions issued a Final Order barring LPL Financial securities broker and Independent Financial Partners ("IFP") Advisors representative Edward Bosch (CRD#: 1127469, Florence, Kentucky). The Order dated March 8, 2018 shows that Bosch admitted to improperly depositing his clients’ funds in his own account. […]