Investors potentially experienced sales practice violations by securities broker Sean Hosein (also known as Sean Sherwin) [CRD: 4164630, New York, New York], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Hosein worked for National Securities Corporation from March 15, 2013, to May 19, 2022, and has been registered with PHX Financial Inc. […]

Investors potentially incurred losses because of securities broker James Edward Van Meter (also known as James Edward VanMeter) [CRD: 4557517, Reno, Nevada], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Van Meter worked for Center Street Securities Inc. from August 15, 2013, to May 2, 2023, Center Street Advisors Inc. […]

Investors might have sustained losses due to securities broker Ernest Adolf Stiba Jr. (also known as Ernie Stiba Jr.) [CRD: 1254994, Waco, Texas], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Ernest Stiba worked for Lion Street Financial LLC and Lion Street Advisors LLC from September 22, 2016, to November 3, […]

Investors may have suffered financial harm by securities broker Mark Heath Woodward [CRD: 4064469, Tampa, Florida], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Woodward has been registered with Kestra Investment Services LLC since March 15, 2013, and with Kestra Advisory Services LLC since May 5, 2016. Read on to learn more about […]

Soreide Law Group is investigating potential investor claims involving KKR Real Estate Select Trust (“KREST”), including whether securities brokers and financial advisors properly explained the investment’s illiquidity, quarterly redemption limits, valuation risks, and the possibility that investors could be unable to fully access their money during periods of elevated withdrawal demand. KREST is a non-traded […]

Soreide Law Group is investigating potential investor claims involving Blue Owl private credit funds, including Blue Owl Credit Income Corporation (OCIC), Blue Owl Technology Income Corporation (OTIC), Blue Owl Capital Corporation (OBDC), Blue Owl Capital Corp II, and Blue Owl Technology Finance Corp., following reports of redemption restrictions, declining net asset values, dividend reductions, and […]

Investors in the Stone Ridge Alternative Lending Risk Premium Fund (LENDX) may have been exposed to significant liquidity and valuation risks tied to consumer and fintech-originated lending, and Soreide Law Group is investigating whether securities brokers and financial advisors properly disclosed those risks when recommending the investment. LENDX is an interval fund sponsored by Stone […]

Investors potentially experienced sales practice violations by securities broker Preston Alan Walchli [CRD: 7265249, Scottsdale, Arizona], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Walchli worked for Realta Equities Inc. from February 8, 2023, to the present, Realta Investment Advisors Inc. from February 10, 2023, to February 18, 2025, Wealth Strategies Advisory Group […]

Investors might have sustained losses due to securities broker James Thomas Chapman (also known as Tom Chapman) [CRD: 4837315, Vestavia Hills, Alabama], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Chapman worked for Equitable Advisors LLC from September 28, 2004, to December 11, 2025. See the following information to discover more about […]