Warning to Seniors: Beware of Investment Fraud!
With the growing number of our citizens reaching 60 or above, we are also seeing a growing number of victims [...]
Clearwater Principal Broker Barred by FINRA for Misappropriation of Funds of Elderly Widower
The following summation was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, November, 2013.” Paul David Arnold (CRD [...]
California Financial Adviser Pleads Guilty to Theft from Elderly, Widowed Client
On Tuesday, September 17th., 2013, 47 year old, Andorean Boleancu, a financial adviser from Northern California, pleaded guilty to charges [...]
Washington Broker Barred by FINRA For Misappropriation of Funds Resulting in a Felony Theft Conviction
FINRA lists the following on their website under “Disciplinary and Other FINRA Actions, August, 2013.” Anthony David Brentin (CRD #5550765, [...]
Former Financial Planner Convicted on Securities Fraud
In an article posted in the Indianapolis Star yesterday, Thomas Redmond Jr., was convicted on securities fraud charges, and sentenced [...]
Delray Beach, FL, Rep Loses Appeal on Churning Charges; Fined and Barred by FINRA
Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary and [...]
Family Recovers Over $983,200 + Fees Against Broker Who Stole From Accounts
McMillan v. Newbridge Securities, FINRA ID #12-01880 (Boca Raton, FL, 6/24/2013) - Two clients recover $983,200, including damages and interest, [...]
FINRA Fined and Suspended Michigan Broker
The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013,” by Soreide Law Group, [...]
FINRA Fined and Suspended California Broker For Borrowing Money From Elderly Client
The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013,” by Soreide Law Group, [...]
Washington Broker Barred by FINRA for Withdrawing Death Benefits of Annuity From Account She Opened in Beneficiary’s Name
Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary and [...]
Complaint Issued by FINRA Against Former Raymond James Broker For Misappropriation of Elderly Clients Funds
The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” FINRA issued the following complaint. [...]
Alert Health Care Workers Can Help Protect Seniors from Financial Fraud
In an effort to protect senior citizens from money swindles, financial regulators have released a new guide for teaching seniors [...]
Deerfield Beach, Florida Rep Barred by FINRA
Soreide Law Group, PLLC, a Securities Arbitration Law Firm, (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary [...]
FINRA Joins with National Crime Prevention Council (NCPC) to Help Reduce Investment Fraud
In a May 7th., 2013 article from FINRA's website, it was reported that according to the FBI's latest Financial Crimes [...]
Providence, RI, Broker Martin Feibish Barred by FINRA
The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, February, 2013.” Martin Benjamin Feibish (CRD #205556, [...]
FINRA Fines Broker $1.8mill in Sale of ETFs
Nicholas Rowe and his firm, Focus Capital Wealth Management, Inc. of Bedford, New Hampshire, were found liable in a case [...]
Lars Soreide, Florida Attorney, Helps Alleged Rip-Off Victims of Broker Jesse Litvak
Recently, a New York City man working as a broker/dealer in Stamford, Connecticut, has been charged with securities fraud, according [...]
LPL REIT INVESTORS WARNING!!!!
In an article in the Wall Street Journal, Feb. 11, 2013, Matthew Heimer writes that ever since the Federal Reserve [...]
Complaint Filed Against Florida Rep for Misappropriation of Funds Against Elderly
The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2013.” Kenneth Andrew Mauchin (CRD #2366345, [...]
Lars Soreide’s Clients Win Settlement Against Harvest Financial, LLC, Due to Negligent Supervison of Broker
The following article appeared in the "Tewksbury Advocate:" "Tewksbury scam victims win $155,250 settlement By Steve Adams GateHouse News Service [...]