Soreide Law Group has been contacted by an investor experiencing losses in GWG L Bonds, due to the alleged recommendation of broker/investment advisor, THOMAS CAINE SHULTZ (THOMAS SHULTZ, THOMAS C SHULTZ).  Shultz is currently registered both as a broker and investment advisor with REALTA EQUITIES, INC of Phoenix, Arizona since 7/25/2023.  He was previously registered with […]

Soreide Law Group was contacted by an investor who experienced losses in Versity Investments DSTs (Delaware Statutory Trusts) allegedly due to the recommendation of former EMERSON EQUITY LLC of Menomonee Falls, Wisconsin, broker/investment advisor, JEFFREY DONALD NOARD (JEFFREY D NOARD). Before Emerson Equity, Noard was registered with CABOT LODGE SECURITIES LLC of Menomonee Falls, Wisconsin, […]

Investors might have sustained losses due to securities broker William Samuel Morris (also known as Bill Morris) [CRD: 1793507, Green Bay, Wisconsin], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Morris worked for KCD Financial Inc. from February 5, 2026, to the present and previously worked for Cape Securities Inc. from […]

Investors apparently complained about securities broker Brittany Danielle Slater-Gautreau (also known as Tany Gautreau and Tany Slater) [CRD: 4885737, Overland Park, Kansas], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Brittany Slater-Gautreau worked for Westpark Capital Inc. from November 20, 2017, to October 30, 2020, American Trust Investment Services Inc. from […]

SEC sanctioned securities broker Steven Robert Graham (also known as Steve Graham) [CRD: 1977736, Valencia, California], and investors complained about him, according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Graham worked for Western International Securities Inc. from September 4, 2020, to June 5, 2025, before joining LPL Financial LLC on June 5, 2025. […]

Investors have reportedly disputed the sales practices of securities broker Mark Andrew D'Ercole (also known as Mark Andrew Dercle and Mark Anthony Dercle) [CRD: 820220, San Francisco, California], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mark D’Ercole worked for Portsmouth Financial Services from February 21, 2003, to December 31, 2022. […]

Investors potentially experienced sales practice violations by securities broker Walter David Nagle (also known as Wally Nagle) [CRD: 2208043, Orland Park, Illinois], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Nagle has worked for Ausdal Financial Partners Inc. since July 7, 2011. Investors are encouraged to continue reading to find out […]

Investors apparently complained about securities broker Michael William Mandarino [CRD: 4443175, Apollo Beach, Florida], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Michael Mandarino has been registered with G. A. Repple Company since November 1, 2017, where he has acted as both a broker and an investment adviser. Investors should review […]

Investors may have suffered financial losses connected to securities broker Michael Arthur Sebald (also known as Mike Sebald) [CRD: 1426782, Oshkosh, Wisconsin], based on information reported in Financial Industry Regulatory Authority (FINRA) BrokerCheck. Records show that Sebald was associated with Landolt Securities Inc. from January 15, 2009, until August 18, 2023. The information below outlines […]