Securities Broker Joseph Chu Involved In RBC Capital Markets Clients' Disputes Over Energy Stock Recommendations Soreide Law Group is reviewing potential investor claims concerning securities broker Joseph Ijong Chu (CRD#: 4546805, Stamford, Connecticut). Namely, Chu, who works for RBC Capital Markets as a financial advisor and securities broker (2018 - present), is involved in six […]

Summit Brokerage Services Investors File Arbitration Claims About Securities Broker Norman Robbins Soreide Law Group has come across concerning information in regard to securities broker Norman Arnold Robbins (CRD#: 731352, Boca Raton, Florida). Namely, six investors brought complaints or FINRA Arbitration Claims alleging sales practice violations by Robbins. It appears that recent disputes focus on […]

Morgan Stanley's Kirk Gill Subject Of Major Investor Disputes Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck profile for securities broker Kirk Gill (CRD#: 2291503, Tucson, Arizona) is problematic to say the least. Namely, a whopping 17 investors including clients of Morgan Stanley (Gill’s employer through 2016) took issue with his sales practices and […]

Berthel Fisher's Alvery Bartlett Allegedly Sold Bad Alternative Investments Soreide Law Group is reviewing possible investor claims against securities broker Alvery Anthony Bartlett Jr. (CRD#: 13975, Saint Louis, Missouri). Notably, Financial Industry Regulatory Authority ("FINRA") BrokerCheck shows that at least 3 clients raised serious concerns about the securities broker, who worked for Berthel Fisher Company […]

Attention: Soreide Law Investigating Clearway Energy Investment (NYSE: CWEN) Recommendations Soreide Law Group is investigating possible claims on behalf of investors who bought investments in Clearway Energy, Inc. (NYSE: CWEN) by way of their broker's or adviser's recommendations. Clearway Energy, Inc. is a publicly traded company focused on sustainable, modern and long-term assets located in […]

On February 16, 2018, a FINRA arbitration panel awarded $121,659.80 in favor of a retired farmer (Claimant) from Minnesota against Wells Fargo Advisors Financial Network, LLC. The Claimant alleges that he opened an account with Wells Fargo in January of 2009 after receiving a cold call from broker, ADAM THOMAS MARQUARDT (CRD#: 5307192), from a […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: RAYMOND JAMES & ASSOCIATES, INC. The Claimant, a resident of Florida, brings this action to recover losses due to RAYMOND JAMES & ASSOCIATES allegedly mishandling savings entrusted to its care, by over-concentrating the Claimant’s portfolio in speculative oil investments such […]

Soreide Law Group has filed a FINRA arbitration on behalf of their clients (Claimants) against:  MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, and their registered representative, CHARLES RAY FRIEDLANDER CRD# 1766198.  The Claimants, a retired couple living in Florida, had the majority of their retirement assets maintained at MERRILL LYNCH under the management of CHARLES […]

Soreide Law Group has been contacted by clients who were sold Spirit of America Energy A (SOAEX) by David Lerner Associates, Inc. Spirit of America Energy Fund (SOAEX), sold exclusively by David Lerner, was first issued in July of 2014. Since its inception, this fund is down -12.2%, and at its low has been down […]