HECTOR MARTINEZ Sell You Unsuitable Or Misrepresented Puerto Rico Investments? The Financial Industry Regulatory Authority (“FINRA”) reports 15 client complaints associated with prior UBS Financial Services securities broker Hector Martinez (CRD#: 2533545, San Juan, Puerto Rico). Particularly, clients brought complaints or FINRA Arbitrations to contest Martinez’s sales practices. Here’s a summary of some of those […]

Did DANA VIETOR Cause Your Investment Losses? Soreide Law Group is reviewing potential investor claims against CFD Investments, Inc. securities broker Dana Bruce Vietor (CRD#: 873129, Dallas Texas). Notably, the Financial Industry Regulatory Authority (“FINRA”) shows six clients disputed Vietor’s sales practices. Here’s a summary of the allegations against Vietor that investors should be aware […]

Highlands REIT (OTC: HHDS) Losses? Soreide Law Group is evaluating potential investor claims against brokers who sold Highlands REIT. Apparently, this “independent, self-advised” REIT has sustained significant volatility and price declines. Particularly, Highlands REIT Inc., which trades on the secondary markets (OTC: HHDS), closed at $.001 on July 16, 2019, which represents a 52-week low, […]

STEVE PAGARTANIS Liable For Misrepresenting Investments The Financial Industry Regulatory Authority (“FINRA”) disclosed on June 26, 2019, that a FINRA Arbitration Panel issued an Award in FINRA Arbitration #: 18-01353, requiring that Cadaret, Grant Co. Inc. securities broker Steven Pagartanis (CRD#: 1955579, Setauket, New York) pay $1,462,000 in compensatory damages to a Cadaret client who […]

BILL UTANSKI Sell You Unsuitable Investments? The Financial Industry Regulatory Authority (“FINRA”) shows that investors disputed the sales practices of Ameriprise Financial Services Inc. securities broker Bill Utanski (CRD#: 2576809, Fort Lauderdale, Florida). Notably, since January 15, 2015, four investors brought complaints or FINRA Arbitrations suggesting Utanski made unsuitable investments. Here is a summary of […]

Did Your Broker Sell You UNIT Shares? Investors may have sustained serious losses from investing in Uniti Group Inc. (NASDAQ: UNIT). Mainly, this internally managed real estate investment trust, which concentrates in wireless communication, is down more than 59% from its $21.79 52-week high, trading at $8.86 as of market close on July 16, 2019. […]

ProShares UltraPro Short 20+ Year Treasury (NYSEArca: TTT) Losses? Soreide Law Group is evaluating possible investor claims against brokers who caused investor losses by selling them ProShares UltraPro Short 20+ Year Treasury (NYSEArca: TTT). Notably, this leveraged Fund, which aims to produce daily investment results of three times the inverse of the daily performance of […]

PEDRO SEIJO Barred BY SEC The Securities and Exchange Commission (“SEC”) announced it has barred Transamerica securities broker Pedro Seijo (CRD#: 2182912, San Juan, Puerto Rico) for fraud. Mainly, Seijo, who Transamerica disaffiliated with after learning about Seijo making unauthorized withdrawals from client accounts, submitted an Offer of Settlement to SEC. Evidently, SEC accepted the […]

JAMES BOOTH Barred From Securities Industry Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) barred LPL Financial LLC securities broker James Booth (CRD#: 1906145, Norwalk, Connecticut) for conversion. Evidently, Booth executed a Letter of Acceptance, Waiver and Consent (“AWC”) #: 2019062787101 on June 26, 2019, which FINRA accepted July 1, 2019. This AWC contains findings […]