Soreide Law Group is currently investigating claims made by investors against former Northland Securities, Inc., broker from Minneapolis, Minnesota: NICHOLAS H. SHERMETA (CRD# 2414010) Alternate Names: NICK SHERMETA The SEC has permanently barred Nicholas H. Shermeta from acting as a broker and investment advisor, or otherwise associating with firms that sell securities or provide investment […]

Soreide Law Group is currently investigating complaints from investors regarding: CAERON A. MCCLINTOCK (CRD# 3206481) Alternate Names: CAERON MCCLINTOCK, RON A MCCLINTOCK   McClintock is a New York-based broker formerly with Spartan Capital Securities.  Currently, McClintock has two pending customer disputes alleging unauthorized trading, churning, unsuitable investments, and more. His most recent complaint was filed […]

Could Vanguard Natural Resources LLC (VNR) be the next energy company to declare bankruptcy? 52wk Range: 0.46 - 8.46 Vanguard Natural Resources LLC (VNR) has had a tough 52-week period, as Vanguard's stock price has plunged from this time last year, when it was $8.94 per share. Vanguard announced recently that it would delay a […]

The Florida-based Soreide Law Group obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions, October 2016.” Winston W. Turner (CRD #5965386, Tampa, Florida) was barred by FINRA for allegedly falsifying information relating to variable annuity transactions. FINRA’s findings stated that Turner misrepresented the source of funds in variable annuity application materials […]

Soreide Law Group is investigating claims on behalf of our clients who were recommended APX Energy oil and gas private placement investments by their brokers or financial advisors. APX Energy, LLC offers oil and gas exploration services. It focuses developing projects in the Illinois Basin and other areas in the southern United States. APX Energy, […]

Soreide Law Group is currently conducting an investigation on behalf of clients whose brokers recommended investing in Precision Drilling Corporation (NYSE:PDS). Precision Drilling Corporation provides oil and natural gas drilling and related services and products. The company operates in two segments, Contract Drilling Services; and Completion and Production Services. The Contract Drilling Services segment offers […]

Soreide Law Group obtained the following information on FINRA’s website under, “Disciplinary and Other FINRA Actions, October, 2016.” 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. This was based on findings that allegedly McGee willfully failed to inform a […]

Soreide Law Group obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions, October 2016.” Caldwell International Securities Corporation (CRD #104323, Nassau, Bahamas), Greg Allen Caldwell (CRD #2816295, Austin, Texas) and Paul Joseph Jacobs (CRD #4658235, Austin, Texas) The firm was censured, fined $1,000,000, and required to pay $1,026,089.48 in restitution to […]

Massachusetts state officials have charged Morgan Stanley with “dishonest and unethical conduct,” saying it ran high-pressure sales contests. These alleged contests in Massachusetts and Rhode Island focused on the sales of securities-based loans (SBLs).  Authorities said clients were allowed to borrow against the value of the securities in their investment accounts with their securities as […]