Soreide Law Group obtained the following information from FINRA’s March 2017 Disciplinary Report: Christopher B. Ariola (CRD #2957096, Santa Monica, California) was barred by FINRA and ordered to pay a total of $137,993.13, plus prejudgment interest of $18,657.43, in restitution to clients for allegedly making unsuitable recommendations to elderly retirees to invest a substantial portion […]

FINRA has ordered Fifth Third Securities and one of its registered reps, Mark Vernon Rottler (CRD# 2369550), to pay a client for allegedly making unsuitable investments which cost the client over $125,000. Allegedly, Rottler made unsuitable recommendations of mutual funds, structured products, and equities. The client opened an account with Fifth Third Securities in 2002, […]

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% […]