Latest Securities Lawyer News

On May 13, 2020, ARTHUR STEWART HOFFMAN (ART S HOFFMAN) CRD#: 3193754, was barred by the Financial Industry Regulatory Authority Inc. (FINRA) from acting as a broker or otherwise associating with a broker-dealer firm. Hoffman, a former broker with AMERIPRISE FINANCIAL SERVICES, LLC of Glendale, AZ, was barred for allegedly failing to participate in an […]

DONALD STEPHEN WOODS (DON STEPHEN WOODS, DONALD S WOODS) CRD#: 727894, a broker formerly with LPL FINANCIAL LLC and THURSTON SPRINGER FINANCIAL of LOUISVILLE, KY, was suspended and fined by FINRA for his alleged handling of the sales and recommendations of real estate investment trusts, also known as REITs. Woods received a six months suspension […]

Great American Investors Clients Allegedly Receive Bad Advice From Broker Bill Baum Soreide Law Group is looking into potential investor disputes against securities broker William “Bill” Baum [CRD#: 1528847, Overland Park, Kansas]. Apparently, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck shows that at least 8 clients took issue with the securities broker, who joined Great American […]

Kovack Broker Andrew Corbman Allegedly Breached A Fiduciary Duty Investor Alert! Financial Industry Regulatory Authority (“FINRA”) BrokerCheck signals troubling information in regard to securities broker Andrew Corbman [CRD#: 2513558, Lansdowne, Virginia]. Apparently, at least 19 clients took issue with the securities broker, who worked for Kovack Securities (2011-2015) and Newbridge Securities Corporation (2015-2016). Not only […]

Broker Jay Zwibel Sold Unsuitable Investments, Clients Suggest Investors are bringing lawsuits indicating that their losses have been caused in part by securities broker Jason “Jay” Bell Zwibel [CRD#: 2460258, Wellington, Florida]. Apparently, the securities broker, who joined Garden State Securities in January 2010, discloses via Financial Industry Regulatory Authority (“FINRA”) BrokerCheck that at least […]

Soreide Law Group is investigating broker, MICHAEL JAMES BURKOFF (MICHAEL BURKE, MIKE BURKOFF) CRD#: 2751980, who is registered with  NATIONAL SECURITIES CORPORATION in New York since 2001. According to FINRA’s BrokerCheck, which is available to the public on FINRA’s website, MICHAEL BURKOFF, has 5 Disclosures on his CRD report.  Of the 5 Disclosures, 4 are […]

Soreide Law Group is Investigating Claims of Investors Who Were Recommended Windstream Holdings, Inc. Bonds or Stock By Their Investment Advisors Windstream Bond victims call 888-760-6552 to start the recovery process now.  Windstream Holdings, Inc. has filed for bankruptcy because a court ruled it violated its bond covenants.  Windstream Bonds that were 6.375% senior notes […]

Midstream energy companies are often thought of as safe investments. These are companies that provide processing, storage and transportation of crude oil and natural gas. Recently, the decline in valuations of the midstream and master limited partnership (MLP) energy sectors happened faster than the US energy crisis in 2015 and the financial crisis of 2008. […]

Broker Sold You Oasis Petroleum  Inc. Bonds, Stock, or Other Risky High Yield Oil and Gas Investments? Soreide Law Group is investigating bond sales made to clients by stock brokers that were highly invested in risky oil and gas bonds.  Despite the recent announcement the fed will be buying bond ETF’s it does not mean […]