Latest Securities Lawyer News

FINRA Fines, Suspends UBS Financial Broker SCOTT MINTZ For Discretionary Trading The Financial Industry Regulatory Authority (“FINRA”) just issued UBS Financial Services Inc. broker Scott Blake Mintz (CRD#: 4783179, Hartford, Connecticut) a suspension and required Mintz to pay a $5,000.00 fine for alleging making discretionary trades in the accounts of UBS Financial Services investors. FINRA […]

INVESTOR ALERT: Claims Against CUSO Financial Services, ERIC SHANKS Eric Olin Shanks a/k/a Eric Shanks (CRD#: 2724083, Richardson, Texas), who was a CUSO Financial Services, L.P. stockbroker, is entangled in investor disputes about his sales practices. Namely, the Financial Industry Regulatory Authority (“FINRA”) reports on BrokerCheck that eight investors brought claims that concerned Shanks. Notably, […]

GPB Capital Holdings Fraud? Soreide Law Group is investigating possible claims against brokers who may have recommended and sold investors GPB Capital Holdings funds. Evidently, the company operates out of New York as an alternative asset management firm that aims to acquire private income-producing companies. Notably, it has $1.5 billion dollars in capital and more […]

ATTENTION INVESTORS: Customer Complaints Against TCM Securities Broker Jim Heafner James Hal Heafner a/k/a Jim Heafner (CRD#: 4837072, Charlotte, North Carolina) is an ex-Taylor Capital Management Inc. (now known as TCM Securities, Inc.) broker, and president of Heafner Financial Solutions, whose sales practices have come under fire lately. Heafner, who has appeared on TV stations […]

INVESTOR ALERT: Soreide Law Investigating CBL & Associates Properties, Inc. (NYSE: CBL) Soreide Law Group is evaluating possible claims against brokers who advised investors to purchase CBL & Associates Properties, Inc. (NYSE: CBL), a publicly traded REIT responsible for managing a portfolio comprised of suburban town centers. Notably, CBL claims to be the largest manager […]

Customers Allege Bad Sales Practices By Merrill Lynch Broker JUAN BARRERAS Juan Guillermo Herrans Barreras (CRD#: 1742910, Miami, Florida) is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated (“Merrill Lynch”). Mainly, the advisor, who has been registered with the firm since June 21, 2010, has some alarming disclosures on his FINRA BrokerCheck […]

Soreide Law Group, based in Pompano Beach, Florida, obtained the following information from FINRA’s Disciplinary Report March 2019 on former Newbridge Securities of Boca Raton, broker: Dennis Allen Hayes (CRD #4403550) was named a respondent in a FINRA complaint alleging that, without providing his member firm prior written notice, he participated in private securities transactions […]

Soreide Law Group, based in Pompano Beach, Florida, was recently contacted a client who was unhappy with the performance of the investments recommended by Aegis Capital Corporation of Boca Raton, broker: ALAN ZELIG APPELBAUM (CRD#: 500336)   Alan Appelbaum was previously registered with Herbert J. Sims & Company, Inc. of Boca Raton. According to Alan […]

Soreide Law Group has been contacted by investors who were allegedly recommended they invest in “Aurora” with former CUSO FINANCIAL SERVICES, broker, ERIC OLIN SHANKS (CRD#: 2724083). Shanks allegedly recommended these clients invest in "Aurora" with former Cuso Financial and barred broker, Conrad Bautista. The selling of investments such as “Aurora,” is also known as “selling […]