Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: LANDOLT SECURITIES, INC. (Respondent). The Claimant resides in Florida and is in his late sixties.  The Claimant met LANDOLT SECURITIES’ former registered representative, MICHAEL ARTHUR SEBALD (MICHAEL A SEBALD, MIKE SEBALD) on or about 2020. The lawsuit alleges that LANDOLT […]

FINRA sanctioned securities broker Phillip Curtis Anderson [CRD: 814936, Roseville, California], and investors complained about him, based on publicly available information Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Anderson worked for Kingswood Capital Partners LLC from June 15, 2018, to June 30, 2023, and Niagara International Capital Limited from March 24, 2017, to June 15, […]

SEC sanctioned securities broker Tony Barouti (also known as Ahmad Agha Barouti) [CRD: 3031995, Los Angeles, California], and investors complained about him, based on publicly available information Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Barouti has been registered with Emerson Equity LLC since June 13, 2017. Read below to find out more about the disclosures […]

Soreide Law Group, based In South Florida, has been contacted by investors who purchased high-risk, illiquid, alternative investments and suffered losses.  It has been brought to our attention that broker, RODGER ERIK THOMAS (ROD THOMAS, RODGER E THOMAS, RODGER THOMAS) currently registered with NEWBRIDGE SECURITIES CORPORATION of Boca Raton, Florida, may have recommended GWG L […]

Soreide Law Group is currently investigating claims by investors who may have been recommended purchasing high-risk, illiquid investments including but not limited to, GWG L bonds by broker, JOHN CALDERWOOD STARKE SR (JOHN C STARKE, JOHN CALDERWOOD STARKE). According to FINRA’s BrokerCheck, available to the public on FINRA’s website, JOHN C STARKE was last listed […]

Soreide Law Group has been contacted by customers who were sold GWG L Bonds by former registered representative, MICHAEL ARTHUR SEBALD (MICHAEL A SEBALD, MIKE SEBALD). Sebald was a broker with LANDOLT SECURITIES INC of Oskosh, Wisconsin, from 01/15/2009 - 08/18/2023. According to FINRA’s BrokerCheck, MICHAEL A SEBALD is currently not listed with any firm.  […]

One or more investors potentially experienced sales practice violations because of securities broker Brian Wayne Napier [CRD: 4555202, Greenwood, Indiana], based on publicly available information reported on FINRA BrokerCheck. Napier has worked with Ausdal Financial Partners Inc. since September 18, 2013, where he serves both as a broker and an investment adviser. Read on to […]

Were you a client of WILLIAM ROBERT YOUNG (BILL YOUNG, WILL R YOUNG) and were recommended purchasing GWG L Bonds or Spring Hill Holdings? Currently Young is registered both as an investment advisor and as a broker with AMERIPRISE FINANCIAL SERVICES, LLC of Gaithersburg, Maryland since 10/16/2023.  WILL R YOUNG was previously registered as an […]

In July of 2024, LifeMark Securities Corporation and its registered representative, Geoffrey (Geoff) Wolterstorff, were censured by the Securities and Exchange Commission (SEC) for allegedly violating Regulation Best Interest (“Reg BI”) rules. LifeMark Securities Corporation was censured, ordered to pay $4,410 in disgorgement, and fined a civil penalty of $85,000. Geoffrey Wolterstorff was censured, ordered to […]