Customers Raise Allegations Of Edward Jones Broker Misconduct Edward Jones – an investment adviser firm and brokerage firm regulated by both Financial Industry Regulatory Authority (“FINRA”) and Securities Exchange Commission (“SEC”) disclosed on its FINRA BrokerCheck Profile that on 71 occasions, the firm has been on the receiving end of a regulatory action for allegedly […]

The Financial Industry Regulatory Authority Inc. (FINRA) has barred DANIEL TODD LEVINE CRD#: 2874319 from acting as a broker or otherwise associating with a broker-dealer firm on January 8, 2019. According to FINRA’s BrokerCheck, without admitting or denying the findings, DANIEL TODD LEVINE consented to the sanction and to the entry of findings that he […]

Global Net Lease Inc. (NYSE: GNL) Losses? Global Net Lease Inc. (NYSE: GNL) Losses?   Soreide Law Group is investigating claims on behalf of investors who were sold Global Net Lease, Inc. (NYSE: GNL) from their broker. GNL – a Triple Net Lease real estate investment trust (REIT) –  is concentrated in the acquisition and […]

Wells Fargo Clearing Services Brokers Face Troubling Allegations Wells Fargo Clearing Services, LLC (CRD#: 19616) is a Financial Industry Regulatory Authority (“FINRA”) regulated brokerage firm and (“SEC”) regulated investment adviser firm. Wells Fargo’s main offices are in St. Louis, Missouri. Wells Fargo has accrued 449 discloses regarding its infractions in the securities industry. 159 of […]

Soreide Law Group has filed a FINRA arbitration on behalf of their client (Claimant) against: CETERA ADVISORS NETWORK, LLC., and their registered representative, HENRY ARTHUR TAYLOR III (also known as: HENRY ARTHUR TAYLOR, TREY TAYLOR) CRD#: 4641256  (Respondents)  The Claimant, a retired teacher, alleges he suffered losses due to the mishandling of his retirement savings […]

Soreide Law Investigating Claims Against Apollo Commercial Real Estate Finance (ARI) Soreide Law Group is investigating potential claims on behalf of investors who were sold Apollo Commercial Real Estate Finance, Inc. (NYSE: ARI) by their broker. ARI is a real estate investment trust (REIT) primarily originating and investing in commercial mortgages and mezzanine loans which […]

Misconduct Allegations Against UBS Financial Services Brokers UBS Financial Services Inc.  (CRD#: 8174) is a Financial Industry Regulatory Authority (“FINRA”) regulated brokerage firm and (“SEC”) regulated investment adviser firm. UBS’ main offices are in Weehawken, New Jersey. UBS has reported 858 discloses regarding its alleged mishaps in the securities industry. 453 of those disclosures concern […]

Soreide Law Group (888-760-6552) has recently been contacted by investors who were clients of the broker, formerly with STIFEL, NICOLAUS & COMPANY, INC. of Pepper Pike, Ohio: ANDREW BRUCE ELSOFFER (ANDREW ELSOFFER) CRD#: 2580009   The former clients of ANDREW ELSOFFER allege they were sold large concentrations of Linn Energy and Memorial Productions Partners. Linn […]

Soreide Law Group is investigating claims on behalf of investors who invested in the GBP Automotive Portfolio, LP. Soreide Law Group has recently been contacted by investors in GBP Automotive Portfolio who are concerned that they may not be receiving their full distributions. GBP Automotive Portfolio, LP, Investigation GBP Automotive Portfolio, LP is a private […]