Attorney Lars Soreide has been retained by several investors to file FINRA arbitrations against TD Ameritrade for allowing investors to be locked out of trading in the stock Provectus symbol “PVCT”. Several firms other than TD Ameritrade experienced the same trading lockout. It is alleged that Wells Fargo, Fidelity, and Charles were also frozen out on January 23, 2014. Some investors were allegedly told this was a business decision by TD Ameritrade while several other online trading platforms such as ETrade allowed trading in the stock. On January 23, 2014, shares of PVCT dropped from $5.60 to $1.87 while TD Investors had to sit on the sidelines as their investments went up in smoke. If you were an investor in PVCT who got locked out call (888) 760-6552 or email info@soreidelaw.com. We represent investors nationwide before FINRA . There is no fee if there is no recovery. If your potential losses are greater than $50,000 please call now for a free consultation.
TORY A DUGGINS was barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm. The last firm Duggins was registered with was SPARTAN CAPITAL SECURITIES, LLC, of New York, New York from 02/29/2016 - 01/31/2024. According to the FINRA report dated 1/21/2026, TORY A DUGGINS was named a respondent in […]
Investors might have sustained financial harm through WestPark Capital Inc. [CRD: 39914, Los Angeles, California], according to publicly available information found on Financial Industry Regulatory Authority BrokerCheck. WestPark Capital has been registered with FINRA since 1996 and maintains its headquarters in Los Angeles, California. Keep reading to discover more about the regulatory action involving the […]
Investors might have sustained losses due to securities broker James Fredrick Tighe [CRD: 3129233, Phoenix, Arizona], and Financial Industry Regulatory Authority barred him, based on public information on BrokerCheck. Tighe was associated with Morgan Stanley from June 1, 2009, through January 14, 2025. Continue reading to find out more about Tighe’s regulatory and client dispute […]
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