INVESTOR ALERT: Virginia Regulator Alleges UBS Made Unsuitable Recommendations UBS Financial Services, Inc. (CRD#: 8174, Weehawken, New Jersey) is a brokerage and investment advisory firm regulated collectively by Financial Industry Regulatory Authority (“FINRA”), Securities and Exchange Commission (“SEC”) and state securities regulators. Apparently, regulators have sanctioned UBS a number of times for securities industry misconduct. […]

The Fort Lauderdale-based Soreide Law Group has obtained the following summation of information from FINRA's Website under "Disciplinary and Other Actions, November 2014." Herbert Leonard Kaye (CRD #265572, Delray Beach, Florida) was assessed a deferred fine of $25,000, which includes disgorgement of $11,000 of commissions and was suspended by FINRA for four months for allegedly […]

According to a recent interview on CNBC, Peter Schiff, of Euro Pacific Capital states that, “If the Fed starts tapering the whole economy will tank.” (See: http://www.cnbc.com/id/101352642 for the full interview.) Is gold a suitable investment for all investors? There seems to be a consensus that a small portion of a portfolio should be in […]

Three arbitrations have been filed by Soreide Law Group on behalf of seven clients, against Jason Figueroa of the GMS Group. These clients live in Pennsylvania, Aventura, Florida, and Delray Beach, Florida. Mr. Figueroa works out of the Boca Raton, Florida office of the GMS Group. The lawsuits, all filed with the Financial Industry Regulatory […]

Three arbitrations have been filed by Soreide Law Group on behalf of seven clients, against Jason Figueroa of the GMS Group. These clients live in Pennsylvania, Aventura, Florida, and Delray Beach, Florida. Mr. Figueroa works out of the Boca Raton, Florida office of the GMS Group. The lawsuits, all filed with the Financial Industry Regulatory […]

Many conservative investors were sold various gold investments by their stock brokers thinking they were investing in physical gold. Soreide Law Group is representing a group of GDX retired investors who thought they were investing in a conservative gold fund and were not told by their broker that the GDX investment, invests at least 80% […]

Soreide Law Group is investigating potential claims on behalf of investors with losses in gold futures, gold options, gold stocks, or gold ETFs. If your broker invested more than 25% of your portfolio in gold investments and you have suffered substantial losses, you may have a claim for damages. Global inflation is falling which reduces […]