Did Scott Palmer Give You Bad Advice? Soreide Law Group is investigating potential investor claims against Janney Montgomery Scott general securities representative Scott Palmer (CRD#: 817586, Hackensack, New Jersey). Specifically, the broker, who worked for Janney Montgomery Scott LLC from March 2, 2007 to June 13, 2017, discloses 15 disputes, 10 of which settled through […]

Soreide Law Group Investigating John Carroll Soreide Law Group is reviewing possible investor claims against Berthel Fisher Company Financial Services securities broker John Carroll (CRD#: 41769). Specifically, according to the securities broker’s FINRA BrokerCheck Report, three clients filed disputes against him, and two securities firms discharged him for bad behavior. Here’s more on the allegations […]

Did Jeremy Monte Cause You Losses? Former American Portfolios Financial Services securities broker Jeremy Monte (CRD#: 4601512, Fairport, New York) allegedly sold unsuitable investments to investors. Apparently, the Financial Industry Regulatory Authority (“FINRA”) reports through BrokerCheck that at least five clients of his filed disputes about his sales practices. Here’s more on the allegations against […]

MICHAEL GIOKAS Barred By FINRA Did you invest with Fortune Financial Services securities broker Michael Giokas (CRD#: 1398674, Clarence, New York)? The securities broker, who FINRA barred in March 2018 for refusing to cooperate in a regulatory investigation, reports more than six client disputes since November 2017. Notably, clients suggest in those disputes that Giokas […]

Losses from Jeffrey Dixson? Soreide Law Group is reviewing possible claims of investment related sales practice violations against financial advisor Jeffrey Dixson (CRD#: 4166311, Vancouver, Washington). Namely, the Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Report for Dixson shows that one regulator sanctioned Dixson for selling unlicensed products to clients and misrepresenting annuity applications. Not only […]

SHAWN BURNS Losses? Soreide Law Group is reviewing possible investor claims against Salomon Whitney Financial securities broker Shawn Burns (CRD#: 3138114, Farmingdale, New York). Evidently, Burns’ Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Report contains thirty-two disclosures regarding regulatory actions and client disputes. The broker, who FINRA barred August 28, 2017 for failing to respond to […]

STEVEN REZNIK Losses? Soreide Law Group is investigating potential investor claims against Raymond James Financial Services financial advisor Steven Reznik (CRD#: 1067199, Tallahassee, Florida). Namely, the Financial Industry Regulatory Authority (“FINRA”) shows 19 investor disputes on Reznik’s record. Clients’ claims, summarized below, raise questions about whether Reznik, who worked for Raymond James from 1989 until […]

ProShares UltraShort 20+ Year Treasury (NYSEArca: TBT) Losses? Did your broker or advisor sell you ProShares UltraShort 20+ Year Treasury (NYSEArca: TBT). Apparently, TBT is a leveraged fund whose goal is to produce daily investment results of two times the inverse of the performance of the ICE U.S. Treasury 20+ Year Bond Index in one […]

Highlands REIT (OTC: HHDS) Losses? Soreide Law Group is evaluating potential investor claims against brokers who sold Highlands REIT. Apparently, this “independent, self-advised” REIT has sustained significant volatility and price declines. Particularly, Highlands REIT Inc., which trades on the secondary markets (OTC: HHDS), closed at $.001 on July 16, 2019, which represents a 52-week low, […]