HJ Sims Broker Larry Wolfe Apparently Commits Elder Exploitation Soreide Law Group is reviewing possible investor claims against securities broker Larry Charles Wolfe [CRD#: 502361, Boca Raton, Florida]. Notably, Financial Industry Regulatory Authority ("FINRA") BrokerCheck discloses that at least 16 clients disputed the sales practices of the securities broker, who worked for HJ Sims and […]

Stephen Nietsch (CRD #3111082, Registered Representative, Boynton Beach, Florida) was barred from association with any FINRA member in any capacity and ordered to pay $20,000, plus interest, in restitution to a customer. The sanctions were based on findings that Nietsch borrowed $20,000 from an elderly customer contrary to his member firm’s procedures prohibiting him from […]

Florida has determined to fight abuse and exploitation by enacting a specific civil cause of action for exploitation, but the Florida action applies to the exploitation of “vulnerable adults.” As a result, the attorney must be prepared to offer testimony on both prongs of the action and prove that his client is both a “vulnerable […]