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September 23, 2014

Many Soreide Law Group clients, and readers of our blog, often hear us refer to "FINRA." FINRA is the abbreviation of the Financial Industry Regulatory Authority, Inc. In case you are wondering what FINRA is and what they do, we will give you a very brief synopsis. FINRA is responsible for regulating it's member firms […]

January 29, 2014
FINRA Issues Notice Giving Guidance to Firms on Unlisted Real Estate Investment Programs

The Financial Industry Regulatory Authority, also known as FINRA, has issued a notice on their website which provides guidance to broker/dealers on the communications they have with their clients regarding unlisted real estate investment programs, including unlisted real estate investment trusts (REITs) and unlisted direct participation programs (DPPs) which invest in real estate. Recently, in […]

June 10, 2013
FINRA to Warn Investors About High Risks of Alternative Securities

FINRA, the Financial Industry Regulatory Authority, will soon publish the latest in a series of warnings to investors, this time about the risks of alternative securities. Richard Ketchum, chairman and chief executive of the Financial Industry Regulatory Authority, told Reuters reporters and editors attending Reuters Global Wealth Management Summit that low interest rates and worries […]

February 15, 2013
Bond Investors Get Warning From FINRA on Duration if Rates Should Rise

Finra warned investors that if the interest rates rise - as most pros expect - bond investors could be slammed by long duration, writes Dan Jamieson in a Feb. 14th., 2013 article for FINRA, the Financial Industry Regulatory Authority Inc. in an investor alert, told investors that in the event of rising interest rates, […]

February 15, 2013
Did You Invest with Former LPL Broker, Alberto Neira?

Securities Lawyer, Lars Soreide of Soreide Law Group, PLLC, recently announced that he is investigating claims against Linsco Private Ledger (LPL Financial) for investors who have suffered losses by former LPL broker Alberto Neira. The clients of former LPL representative Alberto Neira were solicited to invest in the now defunct Silver Oak Leasing – a […]

February 14, 2013
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 alleging negligence, civil fraud, and other misdeeds, involving the sale of risky ETFs (Exchange Traded Funds) to nine investors, according to a ruling by a Financial Industry Regulatory Authority (FINRA) arbitration panel. Some of these […]

February 13, 2013
Lars Soreide, Florida Attorney, Helps Alleged Rip-Off Victims of Broker Jesse Litvak

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February 12, 2013

Last week LPL Financial Holdings agreed to pay $2.5 million in fines and restitution for improperly supervising brokers who sold non-traded real estate investment trusts. (Please note that LPL neither admitted nor denied wrongdoing.) These non-traded REITs are high-yielding and very popular. These non-traded REITs have jumped about 50% since 2009, to $65 billion. They […]

February 12, 2013

In an article in the Wall Street Journal, Feb. 11, 2013, Matthew Heimer writes that ever since the Federal Reserve started pushing interest rates to new lows, it’s been a common theme for retirees and other conservative investors accepting more risk to get a decent income from their portfolios. Last week LPL Financial Holdings agreed […]

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