In a recent article from InvestmentNews, Bruce Kelly writes that GWG Holdings Inc. filed for chapter 11 bankruptcy protection almost three years ago and investors who bought $1.6 billion in GWG L bonds have now been offered pennies on the dollar in a settlement proposal made in March. Beneficient, a platform for illiquid alternative investments that […]

Soreide Law Group, based in Pompano Beach, Florida, has filed a FINRA arbitration on behalf of our client (Claimant) against: CABOT LODGE SECURITIES LLC (Respondent) The Claimant in his mid-70s, is retired and living in Texas. The lawsuit alleges the Claimant met broker, DAVID L ARLEIN, sometime on or about 2014 and discussed investments with […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker John William Wolf [CRD: 1846080, Appleton, Wisconsin]. Evidently, John Wolf worked for several firms throughout his career, including Purshe Kaplan Sterling Investments from November 2009 to January 2016, Raymond James Financial Services from June 1996 to September 2009, and Banc One Securities Corporation from […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows important investment-related disclosures about securities broker / financial advisor Deborah Stackpole (also known as Deborah Brown) [CRD: 4969850 Bayville, New Jersey]. Evidently, Stackpole has been employed by Stonecrest Capital Markets Inc. since September 6, 2016, and also works for Stonecrest Advisors Inc. since October 14, 2016. Below, you’ll […]

JOHN FRANCIS SCHLAGHECK (JOHN F SCHLAGHECK), according to FINRA’s BrokerCheck, available to the public on FINRA’s website, has been in the securities industry for 39 years and has been listed with 13 firms.  Schlagheck has 13 disclosures on his FINRA CRD report, with 10 of the disclosures “Customer Disputes.” The significance of JOHN F SCHLAGHECK’s […]

JAMES JOHN RAIA (JIM RAIA), is currently a broker, registered with MOLONEY SECURITIES CO., INC. of Ridgewood, New York, since 2/1/2018. He was previously listed with SUMMIT BROKERAGE SERVICES, INC from 09/03/2015 - 02/09/2018 and JP TURNER & COMPANY, LLC, from 12/18/2009 - 09/29/2015 both of Ridgewood, New York. Soreide Law Group is investigating the […]

Soreide Law Group currently has a pending lawsuit against ROBERT M VANCE. Recently it was announced in an SEC Litigation Release that on September 24, 2024 the U.S. SECURITIES AND EXCHANGE COMMISSION (SEC) is now charging the California resident, ROBERT M VANCE, with failing to comply with Regulation Best Interest's Care Obligation when recommending high-risk […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Garrett Wayne Moretz [CRD: 4086791, Mooresville, North Carolina]. Moretz joined LifeMark Securities Corp. on May 31, 2017. Investors and SEC have raised concerns regarding Moretz’s conduct, leading to allegations of misrepresentation, unsuitable recommendations, and negligence. Continue reading to learn more about the disclosures. SEC […]

Investors possibly experienced losses because of securities broker Thomas Brian Swan [CRD: 1698430, Westlake Village, California], and Securities and Exchange Commission (SEC) brought a complaint against him, according to publicly available disclosures. Evidently, Thomas Swan has worked for Western International Securities Inc. since 2008 as a securities broker and since 2014 as a financial advisor. […]