ATTENTION INVESTORS: Customer Complaints Against Sagepoint Broker BRUCE SLATER Soreide Law Group is reviewing possible claims of unsuitability against Sagepoint Financial, Inc. securities broker Bruce Albert Slater (CRD#: 1547792, Northville, Michigan). Investors should take caution if investing with Slater because customers of Sagepoint and Transamerica Financial Advisors (Slater’s prior employer) filed disputes against him. For […]

Losses from NEWBRIDGE SECURITIES CORPORATION, JESSE KRAPF? Soreide Law Group is evaluating possible claims on behalf of those who invested with Newbridge Securities Corporation securities broker Jesse Krapf (CRD#: 5467277, McDonough, Georgia). Evidently, Jesse Krapf worked at the firm’s McDonough, Georgia offices between February 12, 2016 and February 21, 2019. Evidently, Financial Industry Regulatory Authority […]

INVESTOR ALERT: Customer Claim Concerning Hornor Townsend Broker AMY MCPIKE Amy McPike (CRD#: 2122993, Cincinnati, Ohio) is a securities broker who currently works at Hornor, Townsend & Kent, LLC. Apparently, McPike joined the firm’s Cincinnati, Ohio offices on November 12, 2013. Notably, McPike reports on her Financial Industry Regulatory Authority (FINRA) BrokerCheck Report that a […]

JAMES BRADLEY SCHWARTZ (JIM SCHWARTZ) CRD#: 3043085 was barred by the Financial Industry Regulatory Authority Inc. (FINRA) from acting as a broker or otherwise associating with a broker-dealer firm. Schwartz, a broker formerly with Aegis Capital Corp., was barred following allegations of churning four client accounts. According to FINRA, JAMES BRADLEY SCHWARTZ, was associated with […]

According to a recent article in InvestmentNews, financial advisors and broker/dealers who sold $1.5 billion of the high-risk private placements offered by GPB Capital Holdings should be prepared for the worst. Last year, GPB Capital Holdings was supposed to file a "Form 10" with the Securities and Exchange Commission (SEC) and begin making financial disclosures […]

Customer Claim Against ProEquties And Bankers Life Broker KAPSOOL SEO Kapsool Seo (CRD#: 6414824, Indianapolis, Indiana) is a securities broker who worked at ProEquities, Inc. from December 22, 2014 to May 26, 2016. Currently, Seo is a Bankers Life Securities Inc. broker in Indianapolis, Indiana. Evidently, the Financial Industry Regulatory Authority (FINRA) BrokerCheck shows that […]

Misrepresentation Claims Involving Raymond James Broker JOHN NORDEN Soreide Law Group is reviewing possible claims of annuity misrepresentation against Raymond James Financial Services securities broker John Norden (CRD#: 2272003, Honolulu, HI), who worked at the firm from October 15, 2009 to June 1, 2018. Norden shows on his Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Report […]

Soreide Law Group has been contacted by investors who have purchased bonds through Cantone Research, Inc.,(CRI) formerly of Tinton Falls, New Jersey, now located in Eatontown, New Jersey.  The bond issuer was First Mortgage Revenue Bonds (Montgomery ALF, LLC Project) Series 2015A & 2015B. The issuer of the bonds was, The Medical Clinic Board of […]

WARNING! Customer Disputes Involving Key Investment Services, DEBORAH CALDER Deborah Calder (CRD#: 4137234, Portland, Oregon) is a previous securities broker of Key Investment Services LLC. She worked in Key Investment Services’ Portland, Oregon offices from March 26, 2014 to March 3, 2017.  Apparently, the Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Report for Calder shows that […]