ATTENTION INVESTORS: Complaints Filed Against Mitchell Brian Walk Mitchell Brian Walk (CRD#: 3195375, Longwood, Florida) is presently a general securities representative of Kestra Investment Services, LLC. Walk, who has been employed with the firm since January 2, 2001, works out of the firm’s Longwood, Florida, Sarasota, Florida and St. Augustine, Florida offices. Notably, Walk disclosed […]

FINRA Issues Fine And Suspension To LPL Financial LLC’s Melvin Case Melvin Elwood Case (CRD#: 2393464, Jacksonville, Florida) is a prior general securities representative for LPL Financial LLC. Notably, on January 19, 2018, FINRA issued Case a $5,000 fine and six month suspension from having any association with a FINRA member in all capacities for […]

Soreide Law Group is currently investigating claims on behalf of our clients against: CETERA INVESTMENT SERVICES LLC, and their registered representative, CHANG JEN VUNG (CRD#: 5347816)  The investors have sustained significant losses allegedly through the purchase of AFIN and/or CLNC from CETERA INVESTMENT SERVICES’ broker, CHANG JEN VUNG. Colony Credit Real Estate Inc. (CLNC) is […]

INVESTOR ALERT: NorthStar Healthcare Income Inc. Suspends Distributions Soreide Law Group is evaluating possible claims of unsuitability against brokers who advised investors to purchase NorthStar Healthcare Income Inc. Notably, NorthStar Healthcare Income Inc. just indefinitely suspended monthly distribution payments to shareholders. NorthStar Suspended Distributions Effective February 1, 2019 Apparently, NorthStar Healthcare Income Inc. is a […]

Complaints Filed Against Wells Fargo Brokers Joseph Esposito, Keith Keply Jr., Thomas Jackson Wells Fargo Clearing Services (CRD#: 19616, St. Louis Missouri), which also does business as Wells Fargo Advisors, is a brokerage firm and investment adviser firm regulated by Securities and Exchange Commission (“SEC”), Financial Industry Regulatory Authority (“FINRA”) and state securities regulators. Apparently, […]

Soreide Law Group is filing a FINRA arbitration on behalf of our clients against CAPITAL INVESTMENT GROUP, INC. for the sales of Hard Rock Partners Drilling Program losses with broker: CORT FREDERICK MEINELSCHMIDT (CORT MEINELSCHMIDT) (CRD#: 4757304) Soreide Law Group has successfully sued broker/dealers for selling the now defunct oil and gas investment, Hard Rock […]

Soreide Law Group has filed a claim in which an investor purchased an outside investment through his former financial advisor: HENRY ARTHUR TAYLOR III (also known as: HENRY ARTHUR TAYLOR, TREY TAYLOR) CRD#: 4641256 It is alleged that Taylor, while working as a registered representative with Cetera Advisor Networks, LLC of Springdale, Arkansas, allegedly recommended […]

INVESTOR ALERT: FINRA Fines And Suspends KMS Financial Services’ John Kasel   John Kasel (CRD#: 4382483, Scottsdale, Arizona) is a prior KMS Financial Services Inc. registered representative who FINRA just sanctioned because he engaged in outside business activities. Specifically, Kasel accepted and consented to FINRA’s imposition of a fine of $5,000 and suspension for three […]

ATTENTION INVESTORS: Carter Validus Mission Critical REIT Losses? Soreide Law Group is evaluating claims against brokers and financial advisors who may have made unsuitable recommendations for investors to buy Carter Validus Mission Critical REIT products. Carter Validus Mission Critical REIT Share Prices Drop Significantly In Estimated Value Apparently, Carter Validus (CV) has offered investors non-traded […]