Investors Suggest Losses Caused By Rita Mansour The investment loss lawyers at Soreide Law Group are reviewing possible investor disputes against Rita Mansour (CRD#: 1968418, Toledo, Ohio). Namely, Mansour is a securities broker and financial advisor for McDonald Partners LLC. Evidently, four investors contend that their losses are attributable to Mansour’s sales practice violations. Here’s […]

The Florida-based Soreide Law Group obtained the following information on FINRA’s website under, “Disciplinary and Other FINRA Actions, May 2016.” Halen Capital Management, Inc. (CRD #135966, Clearwater, Florida) was censured; fined $100,000; shall, within 45 days of the acceptance of the AWC, provide a written notice to each affected investor that he/she has the right […]

This summation of information was found on FINRA’s website under “Disciplinary and Other FINRA Actions, May, 2014.” Soreide Law Group (888) 760-6552. Bernardita Cortez Roque (CRD #3116405, Virginia Beach, Virginia) was barred by FINRA for allegedly referring clients to a private investment company that offered private placement investments. This was done allegedly without her firm’s […]

The following is a summary of information that appeared on FINRA's website: Arete Wealth Management, LLC (CRD #44856, Schaumburg, Illinois) was censured and fined $25,000. Without admitting or denying the findings, the firm consented to the described sanctions and to the entry of findings that it approved a private offering to customers and failed to […]

Timothy Michael McGinn (CRD #813935, Registered Principal, Schenectady, New York) and David Lee Smith (CRD #427284, Registered Principal, Saratoga Springs, New York) were barred from association with any FINRA member in any capacity. The sanctions were based on findings that Smith misused investor funds when he sold approximately $89 million in income notes issued by […]