Latest Securities Lawyer News

Soreide Law Group is investigating claims on behalf of investors who sustained substantial losses in energy market ETFs. Our firm is focusing on claims involving such products as the ProShares Ultra Oil and Gas Fund (DIG), and the Direxion Energy Bull 3X (ERX). Leveraged ETFs are highly speculative investments that should not be held for […]

Soreide Law Group is investigating claims on behalf of investors who sustained substantial losses in energy market ETFs. Our firm is focusing on claims involving such products as the ProShares Ultra Oil and Gas Fund (DIG), and the Direxion Energy Bull 3X (ERX). Leveraged ETFs are highly speculative investments that should not be held for […]

Soreide Law Group, (888) 760-6552, obtained the following summation of information on FINRA’s website under “Disciplinary and Other FINRA Actions, October, 2013.” Jason Robert Westfort (CRD #2975365, Registered Representative, Lake Worth, Florida) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Jason R. Westfort consented to the […]

The following summation was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, October, 2013.” Christopher Shawn Vaughn (CRD #4956822, Registered Representative, Leesburg, Florida) was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations, Vaughn consented to the described sanction and to the entry of findings that […]

The following summation was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, October, 2013.” Christopher Shawn Vaughn (CRD #4956822, Registered Representative, Leesburg, Florida) was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations, Vaughn consented to the described sanction and to the entry of findings that […]

UBS AG released its third-quarter earnings report on Tuesday. UBS took a $20 million trading loss and $21 million in credit losses all related to loans that were backed by Puerto Rican municipal securities and related funds. UBS Financial Services Inc. of Puerto Rico, (UBS PR) is the subject of arbitration by investors who say […]

The Financial Industry Regulatory Authority (FINRA) filed a civil enforcement complaint on October 18th., against Bambi Holzer, Beverly Hills broker and chairman of Wealth & Income Management Group, Beverly Hills, for allegedly selling seven investors worthless privately issued securities and for allegedly lying to FINRA in regulatory documents. According to Reuters, many of Holzer's clients […]

The Financial Industry Regulatory Authority (FINRA) filed a civil enforcement complaint on October 18th., against Bambi Holzer, Beverly Hills broker and chairman of Wealth & Income Management Group, Beverly Hills, for allegedly selling seven investors worthless privately issued securities and for allegedly lying to FINRA in regulatory documents. According to Reuters, many of Holzer's clients […]

Greg J. Campbell, a financial advisor from Ladue, Missouri, was sentenced to 38 months in prison, restitution in the amount of $1,851,956, and was ordered to forfeit his home. He pled guilty to diverting more than $1.8 million from client retirement accounts to finance his lavish lifestyle. According to court documents, from June 2006 until […]