Latest Securities Lawyer News

Investors might have sustained losses due to securities broker James Michael Poindexter [CRD: 1867899, Prescott, Arizona], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Poindexter has been registered with McDermott Investment Services LLC since January 3, 2019, and Independent Wealth Network Inc. since October 2, 2017. Keep reading to learn more about […]

Timothy Walsh (CRD 4666856) settled a customer dispute over his management of a client's portfolio, according to his BrokerCheck report. A customer filed the dispute on July 11, 2024, under docket number CV24-0353-173, while Walsh was registered with Xenith Financial Advisory Services.

Tony Barouti (CRD: 3031995) faces a pending $230,400 customer claim, according to his BrokerCheck report. He says the allegations in it are false. His report also lists SEC administrative and cease-and-desist proceedings from August 2025.

Chuck Roberts (CRD: 2064602) settled a Stifel customer dispute for $30,000,000 on September 11, 2026, after the claimant alleged $5,000,000 in damages.

Brian Nelson (CRD #5065593) settled a customer dispute naming Emerson Equity for $136,944, according to his BrokerCheck report. The claim, filed June 9, 2025 under docket number 25-01170, alleged violation of federal securities laws, violations of the California Securities laws, California unfair, unlawful, and fraudulent business practices, breach of contract, common law fraud, breach of fiduciary duty, negligence and gross negligence. BrokerCheck shows it settled on September 23, 2026.

Soreide Law Group is investigating potential investor claims involving financial advisors and securities brokers who recommended CIM Real Estate Finance Trust, formerly known as Cole Credit Property Trust IV. CMFT was sold as a non-traded REIT, but a 2026 restructuring ended its REIT status and substantially altered investors’ ownership, income, tax, and liquidity expectations. Investors […]

Soreide Law Group is investigating potential investor claims involving brokers and financial advisors who recommended EcoVest Capital syndicated conservation easement investments. These private placements were designed to acquire land, donate development restrictions, and allocate charitable tax deductions to investors. Investors should know about federal allegations concerning inflated appraisals, IRS challenges, penalties, illiquidity, commissions, and potential […]

Soreide Law Group is investigating potential investor claims involving brokers and financial advisors who recommended Procaccianti Hotel REIT Inc. This non-traded real estate investment trust owns a small hotel portfolio and was offered as a long-term, illiquid investment without a public trading market or guaranteed liquidity event. Recent valuation declines, continuing adviser fees, operating losses, […]

Soreide Law Group is investigating potential investor claims involving Harlan Mountain Investments LLC and possible sales practice violations by the securities brokers and financial advisors who recommended it. Harlan Mountain Investments was an unregistered, real estate-related private placement offering that sought approximately $11.7 million from investors. Public information raises concerns regarding the offering’s substantial commissions, […]