Soreide Law Group has been contacted by investors who purchased GWG L Bonds due to the alleged recommendation of broker/investment advisor, THOMAS CAINE SHULTZ (THOMAS C SHULTZ). Schultz has been registered as a broker with REALTA EQUITIES, INC of Phoenix, Arizona, and Franklin, Tennessee, since 7/2/2023, and as an investment advisor with REALTA INVESTMENT ADVISORS, […]

THOMAS GREGORY SCHEIMAN (THOMAS G SCHEIMAN) is currently listed as a broker since 1990 and as a financial advisor since 2003 with INDEPENDENCE CAPITAL CO., INC. of Parma, Ohio.  SCHEIMAN was recently fined $5,000.00, ordered to pay a disgorgement of $2,600.00, and was suspended for two months by FINRA. According to the FINRA report, THOMAS […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: WESTERN INTERNATIONAL SECURITIES, INC. (Respondent) The Claimant is in his late sixties and living in Los Angeles, California. On or about 2019, the Claimant was invited to a presentation on retirement by WESTERN INTERNATIONAL SECURITIES (WIS) former broker, Matthew Thomas […]

FINRA barred securities broker Brett Allen Rutherford [CRD: 4001310, Morehead City, North Carolina], and investors complaint about him, based on publicly available information found on FINRA BrokerCheck. Brett Rutherford worked for Capital Investment Group Inc. from September 18, 2015 to December 6, 2024. See the following information to find out more about the disclosures involving […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Rene Javier Castro [CRD: 2559410, Chicago, Illinois]. Rene Javier Castro worked for Center Street Securities, Inc. from April 2014 to October 2019 and later joined Great Point Capital LLC in November 2019, where he remains registered. Recent disclosures reveal concerns about Castro’s conduct, including […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Tammie Lyn Farrell (also known as Tammie Lyn Brown, Tammie Lyn Burk, Tammie Burk Farrell) [CRD: 2475931, Franklin, North Carolina]. Tammie Farrell worked for Wells Fargo Advisors, LLC from October 2000 to October 2012, and later joined Capital Investment Group, Inc. on October 9, […]

Soreide Law Group is currently investigating on behalf of our clients:  OTTO RAMON BOHON JR. (OTTO R BOHON JR, OTTO BOHON). Soreide Law Group has also filed a lawsuit involving BOHON on behalf of a retiree who was sold $100.000.00 worth of GWG bonds. OTTO R BOHON JR was previously registered both as a broker […]

Soreide Law Group has filed a FINRA arbitration on behalf of their client (Claimant) against: EMERSON EQUITY, LLC, and their registered representative, TONY BAROUTI. (Respondents) The Claimant is a retiree living in California who was looking for conservative investments that could generate a stable income to sustain him through retirement without any risk of loss […]

Soreide Law Group is investigating Fariba Zehtabian Madison (Fariba Zehtabian) a broker/financial advisor currently listed with WESTERN INTERNATIONAL SECURITIES, INC. of Los Alamitos, California since 2012. It was brought to our attention that Fariba Zehtabian Madison had allegedly sold GWG bonds to clients. GWG filed for Chapter 11 bankruptcy in April, 2022.  GWG Bonds carry […]