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 [...]
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 [...]
LPL REIT INVESTORS WARNING!!!!
In an article in the Wall Street Journal, Feb. 11, 2013, Matthew Heimer writes that ever since the Federal Reserve [...]
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' [...]
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, [...]
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, [...]
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, [...]
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 [...]
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 [...]
New FINRA Rule 5123 Regarding the Sale of Private Placements Became Effective December 3, 2012
In an effort to protect investors over the sale of private placements, the new Financial Industry Regulatory Authority (FINRA), Rule [...]
Broker Jason T. Knapp Arrested in Alleged Ponzi Scheme
Jason T. Knapp, Corinth, New York, was arrested in connection with a nationwide Ponzi scheme, which allegedly involves hundreds of [...]
Variable Annuity Contracts That Have a Guaranteed Minimum Benefit “GMIB” Feature
As a general rule, investment performance for the last ten years has generally been mediocre. This is true not only [...]
Morgan Keegan Fined and Censured by FINRA Over Sales of ETFs
Recently, Morgan Keegan entered into a settlement with FINRA for conduct surrounding non traditional etfs sold to retail customers. The [...]
$42 Million Ponzi-Like Scheme Shut Down by SEC
The Securities and Exchange Commission (SEC) announced that it obtained an emergency court order to halt an alleged Ponzi-like scheme [...]
Did You Invest with Ft. Lauderdale Broker, Donald Horras?
Donald Dean Horras CRD# 1056123 Soreide Law Group is investigating claims on behalf of investors who were clients of Ft. [...]
Broker/Dealers Who Sold Variable Annuities with Hedge Funds Scrutinized by FINRA
FINRA, the Financial Industry Regulatory Authority, is investigating independent broker-dealers that sold variable annuities with subaccounts invested in hedge funds [...]
FINRA Awards $1.8 million
Straccia v. Focus Capital, FINRA ID # 11-02737 (Manchester, NH, 11/27/2012) - A FINRA Arbitration Panel awarded $1.8 million in [...]
Did You Invest in Any of These Companies?
Securities Lawyer, Lars Soreide, of Soreide Law Group, is investigating the following investments. If your stock broker/financial advisor recommended the [...]
St. Petersburg, FL, Bank Manager Barred by FINRA for Misappropriation of Funds
The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, November, 2012.” Brennan R. Lollar (CRD #5287737, [...]
Jacksonville, FL, Rep Suspended and Fined for Insurance Scam
The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, November, 2012.” Evan Coley Eggers (CRD #5205969, [...]