FINRA Suspends Broker Chris Bond, And An Investor Files A Dispute About Him FINRA BrokerCheck indicates that investors alleged sales practice violations involving securities broker Christopher Edward Bond “Chris Bond” (CRD#: 4658534, Melville, New York) and that those violations resulted in damages. Particularly, Bond, who has been with National Securities Corporation since 2004 and National […]

Spartan Capital Broker Joe Kelly Purportedly Sells Bad Private Placements Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports troubling information with regard to Spartan Capital Securities broker Joseph “Joe” Kelly (CRD#: 4560737, New York, New York). Notably, there are four investment disputes which have surfaced on Kelly’s record from 2016 to 2020. Supposedly, Kelly […]

Attention: Soreide Law Group Investigating Unsuitable Sales Of GPB Funds Soreide Law Group is investigating potential claims on behalf of investors who purchased GPB Funds because of their broker’s investment recommendations. GPB Halts Private Placement Due To Financial Challenges Apparently, GPB Capital Holdings, founded in April 2013, is an alternative asset management company based in […]

Soreide Law Group is currently investigating, on behalf of our clients, the private placement, Noble Royalty Access Funds. Noble Royalties, Inc. offers several oil and gas private placements through broker/dealers. Private placements can carry substantial risks, high commissions, and are often illiquid. The private placements involving oil and gas in particular, after the devastating losses […]

Soreide Law Group (888-760-6552) obtained the following information on FINRA’s website located under “Disciplinary and Other FINRA Actions, December 2016.” Houlihan Capital, LLC (CRD #156028, Chicago, Illinois), and Andrew David Smith (CRD #2433015, Clarendon Hills, Illinois) also known as Andy Smith Houlihan Capital was censured and fined $25,000, $5,000 of which is joint and several […]

Soreide Law Group was recently retained to file claims against Proequities, Inc. of Otsego, Minnesota, regarding investment recommendations made by its former registered representative, BRADLEY J. FREIMARK (CRD# 2883389) Alternate Names: BRADLEY JOHN FREDMARK, BRAD FREIMARK. Mr. Freimark held several lunch seminars where investors were sold REITs such as Behringer Harvard and private placements such […]

Soreide Law Group, PLLC, a Securities Arbitration Law Firm, (888) 760-6552, found the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, March, 2013.” Robert Keith Brooks aka Robert Keith Stuart (CRD #1571789, Registered Principal, Miami, Florida) was fined $7,500 and suspended from association with any FINRA member in any capacity for two […]

In an effort to protect investors over the sale of private placements, the new Financial Industry Regulatory Authority (FINRA), Rule 5123, was effective on December 3, 2012. Under the new FINRA Rule 5123, FINRA member firms that sell an issuer’s securities in a private placement will be required, subject to certain exemptions (which include private […]

Soreide Law Group is currently investigating the sale of shares in Club 50, Inc., through a private placement offering by various FINRA registered broker dealers. Club 50 Inc., is located at 360 South Center Street, Suite 500, Reno, Nevada 89501. If your broker/dealer sold you this private placement, offering it to you as a “safe” […]