California Resources Corporation Files For Chapter 11 Bankruptcy Protection Soreide Law is investigating possible legal claims on behalf of investors who have suffered losses by purchasing California Resources Corporation (OTC: CRCQQ) because of their securities broker or financial advisor. Notably, California Resources Corporation filed for Chapter 11 bankruptcy protection and is in the process of […]

Broker Daniel Levine Barred By SEC, FINRA and Colorado Division of Securities Former Morgan Stanley broker Daniel Todd Levine (CRD#: 2874319, Greenwood Village, Colorado) is one of the latest securities brokers to be expelled from the industry. Evidently, Securities and Exchange Commission (“SEC”), Financial Industry Regulatory Authority (“FINRA”) and Colorado Division of Securities barred the […]

Did DANA VIETOR Cause Your Investment Losses? Soreide Law Group is reviewing potential investor claims against CFD Investments, Inc. securities broker Dana Bruce Vietor (CRD#: 873129, Dallas Texas). Notably, the Financial Industry Regulatory Authority (“FINRA”) shows six clients disputed Vietor’s sales practices. Here’s a summary of the allegations against Vietor that investors should be aware […]

ProShares UltraPro Short 20+ Year Treasury (NYSEArca: TTT) Losses? Soreide Law Group is evaluating possible investor claims against brokers who caused investor losses by selling them ProShares UltraPro Short 20+ Year Treasury (NYSEArca: TTT). Notably, this leveraged Fund, which aims to produce daily investment results of three times the inverse of the daily performance of […]

GARRY SAVAGE Misrepresent Your Investments? Soreide law Group is reviewing possible investor claims against Wall Street Strategies securities broker Garry Savage Sr. (CRD#: 1195330, Huron, Ohio). Evidently, the Financial industry Regulatory Authority (“FINRA”) sanctioned the broker after Wall Street Strategies disaffiliated with him June 7, 2017. Particularly, FINRA suspended Savage August 16, 2018 for allegedly […]

FRANK KELLY Suspended For Unauthorized Trading The Financial Industry Regulatory Authority (“FINRA”) announced it has issued HD Vest Investment Services securities broker Frank Kelly (CRD#: 2028226, New Cumberland, Pennsylvania) a three month suspension and fine of $5,000. Mainly, FINRA found Kelly violated FINRA Rules on unauthorized trading and trading with discretion. The sanctions became effective […]

ROGER ZULLO Cause You Investment Losses? The Securities and Exchange Commission (“SEC”) and the Financial Industry Regulatory Authority (“FINRA”), and at least one state regulator, have barred LPL Financial LLC stockbroker Roger Zullo (CRD#: 1882087, Boston, Mass.) from acting as a broker or investment advisor.  The SEC and FINRA actions come after Mass. Securities Division […]

FREDERICK HOLLOWAY Barred For Unsuitable Recommendations The Financial Industry Regulatory Authority (“FINRA”) issued Decision #: 201605002401 on April 11, 2019, barring securities representative and owner of Holloway & Associates Inc., Frederick David Holloway, (CRD#: 248814, Easton, Maryland) from the securities industry for making unsuitable annuity recommendations to investors and hiding information from FINRA when it […]

ATTENTION INVESTORS: Losses from Capital Financial Services Broker Steven Knuttila? Financial Industry Regulatory Authority (FINRA) barred Capital Financial Services Inc. broker Steven Roland Knuttila (CRD#: 3039112, Perham, Minnesota) from the securities industry for making bad recommendations to customers. Notably, Mr. Knuttila, who was employed with Capital Financial Services, Inc. between June 4, 2012 and December […]