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November 29, 2011
Next Financial Group, Inc., Ordered to Pay $2M to Clients Over Provident Royalties Private Placements

In a November 28, 2011 article for InvestmentNews.com, Bruce Kelly writes that Next Financial Group, Inc. has agreed to pay $2 million in restitution to clients who bought oil and natural gas private placements of Provident Royalties LLC, which the Securities and Exchange Commission in 2009 accused of fraud. In a Financial Industry Regulatory Authority Inc. […]

November 29, 2011
LPL Financial Fined for 'Oversights' Involving Elderly Clients

In a November 23, 2011, article in FA Magazine, Karen DeMasters writes that LPL Financial has been fined $100,000 for failing to properly oversee one of its brokers in Oregon who sold risky investments to people, many of them elderly and without the mental capacity to make investment decisions. It was reported that the Oregon […]

November 18, 2011
Laidlaw & Co. Miami Broker Accused of Elder Abuse

An article appeared in the About.com Guide, written by Julie Garber regarding a Miami broker and elder abuse.  She wrote that recently a Miami news station reported on the elder abuse case of Josephine Troisi, age 93, and her sister, Mary Teris, age 95. A few years ago the sisters, who live together in Hollywood, Florida, hired […]

November 18, 2011
Jefferson County's Bankruptcy Is A Blow to Birmingham

In a Nov. 11, 2011 article from Bloomberg, we learn that  Birmingham, Alabama, once, the most prominent industrial center in the Southeast has been on a long losing streak that just got longer. Daimler AG opened a Mercedes-Benz factory in Vance, in 1997,one county west of the state’s biggest city. Honda Motor Co. put a plant […]

November 18, 2011
E*Trade Value Falls Most in S&P 500 After Rejecting Sale of Company

In a Bloomberg article from Nov. 11, 2011 they write that E*Trade Financial Corp., the fourth- largest U.S. online brokerage by client assets, dropped the most in the Standard & Poor’s 500 Index after the board rejected putting the company up for sale. It was reported that E*Trade declined 3.6 percent to $9.14 at 11:58 a.m. New […]

November 17, 2011
Ongoing Investigations

Soreide Law Group, PLLC, is currently investigating claims on behalf of investors in the following firms regarding stock/securities losses: Laidlaw & Company, with locations throughout the United States and the UK, First Midwest Securities, Inc. (FMSI) established in Wisconsin in 1989, FMSI has since relocated to Bloomington, Illinois, Obsidian Financial Group, with offices in New York and […]

November 17, 2011
Did You Invest in Foresee Strategies Insurance Funds?

Soreide Law Group, PLLC is currently investigating potential claims related to the Foresee Strategies Insurance Funds 3(c)(1) and 3(c)(7), which were offered via an annuity issued by Sun Life Financial and sold to investors by SagePoint Financial, Inc. and other securities brokerage firms. Foresee Strategies Insurance Funds were part of the SALI Multi-Series Funds 3(c)(1) and 3(c)(7), […]

November 17, 2011
Have you Experienced Losses with Joseph Fedorko, of Laidlaw & Company, Stamford, CT?

Soreide Law Group, PLLC,  is currently investigating claims against Laidlaw & Company stock broker, Joseph Fedorko, Stamford, CT.  Joseph Fedorko, listed as "managing director" of Laidlaw & Company's Stamford, CT, branch, has eight customer complaints on his record with three more pending complaints.  Joseph Fedorko has been with Laidlaw & Company since May, 2009. Securities Attorney, Lars Soreide, […]

November 17, 2011
FINRA Fines Broward Brokerage and Censures Two Brokers

In a November 16th., 2011, Sun-Sentinnel article, Donna Gehrke-White writes that a Ft. Lauderdale brokerage was fined $20,000, a Plantation broker was suspended for two years and a Coral Springs man was barred from working with any brokerage, according to November's report on disciplinary action taken by FINRA, the private regulatory agency that oversee securities companies. Newbridge […]

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