Swift Energy Company Bankruptcy Investment Loss Recovery   We are investigating investor losses in Swift Energy Company.  If this investment was recommended to you by your stock broker or financial advisor they may hold liability for your losses. Swift Energy Company filed chapter 11 on Dec 31, 2015.  It traded under symbol SWFT (OTCQX: SWTF).  […]

STEPHEN PAUL MOSLEY (S. PAUL MOSLEY, STEPHEN P MOSLEY) CRD#: 4900781 formerly with Ameriprise Financial of Lake Havasu, Arizona, was discharged in November of 2016, according to the report in FINRA’s BrokerCheck for alleged, “compliance policy violations related to complying with disciplinary action and heightened supervision, soliciting a prohibited security and suitability of a transaction.” […]

RRICHARD GRANT CODY (RICHARD G CODY) CRD#: 2794558, a New Jersey financial advisor, has been charged with defrauding his retired clients through his company, Boston Investment Partners, LLC. The SEC's complaint alleges that Cody defrauded at least three of his elderly, retired clients over a twelve-year period by concealing the fact that their retirement accounts […]

Soreide Law Group is investigating broker/dealers who sold, the now bankrupt, Quick Silver oil and gas stock to their clients without informing them of the potential risks involved with these investments.  Any broker/dealer who held this stock for a client and watched it go to $0 with no downside protection or risk strategy may be […]

Samson Resources Corporation Bankruptcy Investor Recovery   Samson Resources Corporation filed for bankruptcy on September 16, 2015.  Soreide Law Group is investigating financial losses in Samson Resources.  If you were invested in Samson Resources Corporation at the recommendation of a stock broker or financial advisor please contact Soreide Law.  Since the investment is not publically […]

Soreide Law Group, based in South Florida, obtained the following information from FINRA’s Disciplinary Report June 2017 on South Florida broker:  Leon Edward Dixon (LEON E DIXON) (CRD #723675, Miami, Florida) was assessed a deferred fine of $7,500 and suspended by FINRA for five months for allegedly participating in private securities transactions without notifying his […]

Soreide Law Group, based in Florida, obtained the following from FINRA’s June 2017 Disciplinary Report regarding Florida broker: WILLIAM CAMBELL WEBB (BILL C. WEBB, BILL WEBB, WILLIAM C. WEBB)  (CRD #1621426, Panama City, Florida) was assessed a deferred fine of $15,000 and suspended by FINRA for 18 months for allegedly engaging in outside business activities […]

Soreide Law Group obtained the following from FINRA’s June 2017 Disciplinary Report:  Bernard G. McGee (CRD #1203327, Cazenovia, New York) was barred by FINRA and ordered to pay $237,643.25, plus interest, in restitution to a client. The SEC sustained FINRA’s findings and sanctions following McGee’s appeal of the NAC decision. These sanctions were based on […]

Soreide Law Group obtained the following from FINRA’s website under, “Discipline and Other FINRA Actions June 2017.”  Ronald Dale Broadstone (CRD #1043159, Columbus, Ohio) was barred from association with any FINRA member in all capacities for allegedly refusing to respond to FINRA’s questions during on-the-record testimony in connection with its investigation into whether he had […]