Investors have come forward with complaints about securities broker Keith Howard Medeck (CRD: 3011429, New York, New York). Notably, the securities broker, who worked for National Securities Corp., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, National Securities Corp. clients allege that Medeck made unsuitable recommendations. For more on these disclosures about […]

Client Of Broker Nick Polydoros (UBS) Alleges Unsuitability Soreide Law Group provides you with new information concerning financial advisor representative Nick James Polydoros (CRD#: 1109056, Scottsdale, Arizona). Evidently, Polydoros joined securities firm UBS Financial Services beginning in December 2011. He became a financial advisor representative at UBS Financial Services in April 2013. Before then, he […]

Soreide Law Group has filed a FINRA arbitration on behalf of their client (“Claimant”) against FIRST STANDARD FINANCIAL COMPANY, LLC, (“FIRST STANDARD”) and their registered representative, WILLIAM C GENNITY (“GENNITY”) CRD# 4913490. The Claimant, a married, father of four, is in his mid-forties and from Utah. The lawsuit states that the Claimant has minimal experience […]

A Financial Industry Regulatory Authority (FINRA) arbitration panel awarded $1.3 million in damages to a Mississippi investor over the handling of her finances by Lanis Dale Noble, a former broker for Stifel Nicolaus & Co. Inc. The investor also is Noble's former daughter-in-law. The case was filed in August 2012, accusing Noble with churning, breach […]

Recently FINRA issued an alert to investors regarding the purchase of securities "on margin." There was a 27% increase in trading on margin over the first nine months of 2013, which averaged to more than $406 billion. FINRA is concerned that investors are underestimating the risks of trading on margin. When the investors cannot satisfy […]

Recently, certain United States based brokerage firms have been contacting investors located in England, Scotland, Wales, and Ireland, soliciting customers to open accounts at USA based brokerage firms. The Securities Lawyers at Soreide Law Group have recently been receiving a large number of inquires from overseas investors. The UK investors are now looking to initiate […]