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April 17, 2019
ATTENTION INVESTORS! FINRA Fines Ameriprise Broker COREY MIREAU

ATTENTION INVESTORS! FINRA Fines, Suspends Ameriprise Broker COREY MIREAU The Financial Industry Regulatory Authority (“FINRA”) announced that Ameriprise Financial Services, Inc. general securities representative Corey Lee Mireau (CRD#: 3046777, Eden Prairie, Minnesota) has been issued a $15,000.00 fine and two year suspension for borrowing money from customers; participating in a private securities transaction and outside […]

August 16, 2013
Which Broker/Dealers Have the Biggest Pay Outs?

Highest Paying Broker/Dealers Ranked by average payout per rep, per year 1.Ameriprise Financial Services Inc. 2.Commonwealth Financial Network 3.VSR Financial Services Inc. 4.Geneos Wealth Management Inc. 5.Wells Fargo Advisors Financial Network Largest Broker/Dealers Ranked by revenue 1.LPL Financial LLC 2.Ameriprise Financial Services Inc. 3.Raymond James Financial Services Inc. 4.Lincoln Financial Network 5.Commonwealth Financial Network Broker/Dealer […]

June 20, 2013
Minnesota Broker Fined and Suspended by FINRA

The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” James Merle Culbertson (CRD #1716829, Registered Representative, Oakdale, Minnesota) was fined $20,000 and suspended from association with any FINRA member in any capacity for 12 months. Without admitting or denying the findings, Culbertson consented to the described sanctions and to […]

May 22, 2013
Massachusetts Brings in $9.6 Million in Settlements From 5 Firms in Nontraded REIT Sales

William Galvin, the secretary of the Commonwealth of Massachusetts, today announced settlements with five leading independent broker/dealers to make $8.6 million in restitution to investors and pay fines totaling $975,000 for the sales of nontraded real estate investment trusts (REITs). These five firms are: Ameriprise Financial Services Inc., with $2.6 million in restitution and a […]

April 16, 2013
Punta Gorda, Florida, Rep Barred by FINRA

Soreide Law Group, PLLC, a Securities Arbitration Law Firm, phone (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, April, 2013.” William Howard Buckley (CRD #3074452, Registered Representative, Punta Gorda, Florida) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Buckley […]

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