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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 12, 2013
DID YOU PURCHASE THESE REITS?

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
LPL REIT INVESTORS WARNING!!!!

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 […]

February 8, 2013
FBI, SEC and FINRA Investigating Tommy Belesis' Firm, John Thomas Financial

In an article, Feb. 7, 2013, in the New York Post, it was reported that (broker-dealer owner), Anastasios “Tommy” Belesis' firm, John Thomas Financial, is being investigated by the FBI, the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority Inc. (FINRA). Mr. Belesis has made many media appearances on cable business/financial shows. […]

January 22, 2013
Boca Raton Rep Suspended by FINRA

The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2013.” Steven Jay Oshinsky (CRD #2339197, Registered Principal, Boca Raton, Florida) was suspended from association with any FINRA member in any capacity for one year. Without admitting or denying FINRA's allegations, Oshinsky consented to the described sanction and to the entry […]

January 22, 2013
Sarasota, FL, Rep Barred by FINRA

The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2013.” William Earl Manley (CRD #1177744, Registered Representative, Sarasota, Florida) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Manley consented to the described sanction and to the entry of findings that he […]

January 22, 2013
Miami Rep Barred by FINRA

The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2013.” John Boyd Dexter (CRD #1354376, Registered Principal, North Miami, Florida) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Dexter consented to the described sanction and to the entry of findings that […]

January 10, 2013
FINRA Fines Total Over $68 Million in 2012

FINRA, the Financial Industry Regulatory Authority levied a total of $68 million in civil fines during 2012, according to statistics released by FINRA on Tuesday, January 8, 2013. This was slightly less than $71.9 million imposed by FINRA in 2011. The high-profile cases against large brokerages accounted for about one-third of total fines in 2012. […]

January 8, 2013
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 Tewksbury — A Tewksbury couple who lost $255,000 to a Quincy financial adviser’s investment scam have won a $155,250 settlement. An arbitrator ruled last week that Harvest Financial LLC must repay a Tewksbury couple because […]

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