Soreide Law Group is investigating the following oil & gas/alternative energy offering investments. If your stock broker or financial advisor recommended any of the following investments and you sustained a significant loss of your investment. Call 888-760-6552 for a free consultation.   - Oil & Gas//Alternative Energy Offerings -   Adwar Drilling Fund I, LP […]

William D. Cohan, a former investment banker and author, for the Bloomberg View, recently wrote that there has been a fair amount written recently about various institutional cartels that are thriving in the U.S. despite antitrust laws designed to prevent their existence. Unbeknownst to the millions of people who interact with Wall Street every day […]

Soreide Law Group, PLLC, is currently investigating the following investments. If your stock broker or financial advisor recommended any of the following investments, and you sustained a significant loss of your investment. call 888-760-6552 for a free consultation. ABS Fund, LLC EJF Income Fund, LP RJO Global Fund Rogers International Raw Materials Fund L.P. Salient MLP […]

Soreide Law Group, PLLC,  is currently investigating the following investments. If your stock broker or financial advisor recommended any of the following investments, and you sustained a significant loss of your investment, call 888-760-6552 for a free consultation.  AgraShares Fund III, LLC Americap Distressed Real Estate Fund I Avere Medical Real Estate Fund I, LP […]

The Securities and Exchange Commission (SEC)  filed a civil injunctive action charging Monticello, New York investment adviser, Lloyd V. Barriger, registered with Barriger & Barriger Incorporated, with fraud in connection with two upstate New York real estate funds he managed – the Gaffken & Barriger Fund, LLC (the G&B Fund or the Fund), and Campus […]

Former Ameriprise broker, Jason May (CRD# 4255401), in Delray Beach and Boynton Beach, Florida, has been barred for life by FINRA for failing to respond to FINRA requests for information after he was suspended for 60 days.   Our investigation has uncovered that Mr. May may have encouraged his clients to take out loans through a […]

Dawson James Securities, Inc. (CRD® #130645, Boca Raton, Florida), Albert James Poliak (CRD #1270681, Registered Principal, Parkland, Florida), and Douglas Fulton Kaiser (CRD #1674570, Registered Principal, Deerfield Beach, Florida)   submitted Offers of Settlement in which the firm was censured and fined $90,000. Poliak, Dawson’s CEO, and Kaiser, who acted at times as both the […]

Elevation, LLC (CRD #140341, Charlotte, North Carolina)   submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $10,000.   Without admitting or denying the findings, the firm consented to the described sanctions and to the entry of findings that it commenced an options business, engaged in options transactions […]

Joseph Alphonse Vitale (CRD #5223467, Registered Representative, Boca Raton, Florida)   has been barred from association with any FINRA member in any capacity. The sanction was based on findings that Vitale failed to respond to FINRA requests for information.   (FINRA Case #2009017585202)   This information is from FINRA’s website’s Disciplinary Actions, December, 2011.   […]