LPL Broker James Booth Defrauds, Steals From Clients Soreide Law Group provides this latest update surrounding a problem securities broker by the name of James Thomas Booth (CRD#: 1906145, Norwalk, Connecticut). Notably, Financial Industry Regulatory Authority (“FINRA”) reports that 36 investors – including LPL Financial and Investment Financial Corporation clients – brought lawsuits or complaints […]

SEC Bars Raymond James's Joel Burstein Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Joel Burstein [CRD#: 3257591, Coral Gables, Florida]. Not only has the Securities and Exchange Commission (“SEC”) barred Burstein for allegedly helping to misappropriate client funds, but at least 7 clients took issue with […]

The Financial Industry Regulatory Authority Inc., also known as FINRA, barred John Thornes, president of Thornes & Associates Inc. of Redlands, Calif., and suspended his broker-dealer firm over allegations that he stole $4.2 million from two clients, one of whom FINRA says suffers from Alzheimer's disease writes Dan Jamieson of Investment News. FINRA alleges that […]

Soreide Law Group, PLLC, is currently allerting  all investors who suffered losses with  Brenda Eschbach of California.  Those investors may be able to recover their losses through a FINRA arbitration. The U.S. Securities and Exchange Commission (SEC) announced on February 14, 2012, it filed a civil injunctive action in the U.S. District Court for the Central District […]