Lars Soreide, Esq., of Soreide Law Group is bringing claims on behalf of investors through the Financial Industry Regulatory Authority (FINRA), against Ken Miller for the sale of the Hennessey Fund f/k/a the Hennessey Fund also known as Capital Solutions. Ken Miller sold the Hennessey Fund while at NFP Securities, when he worked for NFP […]

Soreide Law Group is investigating claims into Kenneth R. Miller, who was selling the True North Fund while at NFP Securities. Kenneth Miller entered into an Acceptance, Waiver, and Consent ("AWC" 2011029137801) with the Financial Industry Regulatory Authority, also known as FINRA, for his role in the sale of the True North Fund a/k/a Hennessey […]

A FINRA arbitration panel ordered Wells Fargo & Co.'s (WFC) retail brokerage unit to pay retired real-estate broker, Philip Lovell, $1.8 million for losses tied to investments in soda and pharmaceutical companies. Lovell accused Wells Fargo Advisors and Wells Fargo broker, John Bulkley Meacham, of having him invest his money in thinly traded securities that […]

The Financial Industry Regulatory Authority (FINRA) has fined StateTrust Investments Inc., Miami, FL, over $1 million and firm’s broker, Jose Luis Turnes, was fined $75,000 and suspended for six months as a result of a FINRA investigation into the company exaggerating the markups and markdowns on corporate bonds and in 85 instances, the company misled […]

Many of the brokers from John Thomas Financial Inc. (JTF), the New York boiler room that closed after regulators accused the founder Anatasios “Tommy” Belesis of fraud, have found new employers in New York’s financial district writes Zeke Faux in a recent Bloomberg article. The two brothers of John Thomas founder, Tommy Belesis, George and […]

Jonathan "Jay" Warren Brooks, of Aiken, South Carolina, was arrested on one count of securities fraud on Friday, July, 19th., according to a news release from South Carolina Attorney General, Alan Wilson. The arrest warrant claims that Brooks collected investment money for a fictional entity, the "Charles Howell Trust," and took the money for his […]

Did your broker sell you the Tsunami Lakeshore Integrated Funds? The Tsunami Lakeshore Integrated Fund, LLC, is being investigated by the US Commodity Futures Trading Commission as a fraudulent investment scam. Tsunami Capital, LLC was incorporated in 2002 and was located at 455 North Cityfront Plaza Drive, in Chicago, Illinois. This company was in the […]

The Financial Industry Regulatory Authority Inc., also known as FINRA, barred John Thornes, president of Thornes & Associates Inc. of Redlands, Calif., and suspended his broker-dealer firm over allegations that he stole $4.2 million from two clients, one of whom FINRA says suffers from Alzheimer's disease writes Dan Jamieson of Investment News. FINRA alleges that […]

Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, July, 2013.” The Office of Hearing Officers (OHO) issued the following decisions, which have been appealed to or called for review by the NAC as of May 31, 2013. The NAC may […]