JONES ENERGY INC. (OTC: JONE) LOSSES? Soreide Law Group is evaluating possible investor claims against brokers and advisors who sold investors Jones Energy, Inc. (OTC: JONE). Evidently this United States exploration and production company, who has been in the business for over 30 years, filed for a chapter 11 bankruptcy on April 15, 2019. Supposedly, […]

INVESTOR ALERT: Unsuitability Claim Against Raymond James Broker JORGE RODRIGUEZ Jorge Luis Rodriguez (CRD#: 1163742, Coral Cables, Florida) is a prior Raymond James financial consultant or broker who has apparently made problematic investment recommendations to customers concerning Puerto Rico securities. Namely, at least eleven customers brought disputes involving Rodriguez’s potentially unsuitable, unreasonable and unwarranted investment […]

AFinancial Industry Regulatory Authority, Inc. (FINRA) arbitration panel ordered Morgan Stanley and one of  their advisors, STEVEN PHILIP ANDERSON (STEVE ANDERSON, STEVEN P ANDERSON) CRD#: 1254635 to return a client’s investment in two private placement funds, which totaled $536,000 and also pay him $37,500 in damages for what the client claimed were unsuitable investments. The […]

Douglas Walter Campbell Jr. (CRD #2462754, New Canaan, Connecticut) was fined $5,000 and it was deferred, and suspended by FINRA for 20 business days for allegedly engaging in unsuitable trading in a customer’s account by recommending purchases of speculative investments, which were not consistent with the customer’s investment objectives, resulting in an overconcentration in the […]

This summation of information was found on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2014.” Soreide Law Group (888) 760-6552. World Trade Financial Corporation (CRD #42638, San Diego, California), Jason Troy Adams (CRD #2137404, La Mesa, California), Frank Edward Brickell (CRD #3257725, Encinitas, California) and Rodney Preston Michel (CRD #1275392, San Diego, California). […]

The following summation of information is from FINRA’s website under “Disciplinary and Other FINRA Actions, May, 2014.” Call Soreide Law Group at (888) 760-6552. Jeremy Gerald Tintle (CRD #2817173, Hawley, Pennsylvania) was barred by FINRA for allegedly participating in private securities transactions without providing his firm with prior written notice of the proposed transactions. Tintle […]

Did your broker/financial advisor recommend any of these three stocks which hit a 52 week low? It was certainly not a memorable week for the investors of these following stocks: 1. Danier Leather (TSX:DL) Danier Leather hit a 52-week low of $10.50 on March 6, but this fall was coming. In March, 2013, the Federal […]

A Boca Raton money manager, Peter Bruno, was charged by the Florida Office of Financial Regulation, with allegedly giving unsuitable recommendations to a janitor and his wife, which caused them to lose the majority of their $70K investment. Bruno, of Wall Street Money Management Group, also hosts a financial radio show. Bruno's recommendations to the […]

The Soreide Law Group, PLLC, is a Securities Arbitration Law Firm, (888) 760-6552. We recently obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013.” Darrell Glynn Frazier (CRD #1663429, Registered Representative, Dublin, Ohio) was barred from association with any FINRA member in any capacity. Without admitting or denying the […]