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September 2, 2021
Brittney Sias Involved In Western International Investor Disputes

Securities Broker Brittney Sias (Western International Securities) Involved In Investor Disputes Soreide Law Group has news to share with you in regard to securities broker Brittney Jade Sias (CRD#: 4274432, Westlake Village, California), who also goes by the name Rosalie Sias. Notably, Financial Industry Regulatory Authority (“FINRA”) shows that two investors filed disputes about the […]

May 24, 2019
ENRIQUE LOPEZ, REIT Sales

Soreide Law Group has been contacted by investors who made purchased private placements with, ENRIQUE LOPEZ (RICK LOPEZ) CRD#: 2209385, of McAllen, Texas. These clients purchased private REITs, which included, Northstar Healthcare, FS Energy, and other private placements. Private placements are securities sold to a select group of investors in an effort to raise capital, […]

August 1, 2017
Did Your Broker Recommend These Vertical Funds?

Soreide Law Group is currently investigating the following Vertical Funds on behalf of our clients who have suffered devastating losses due to their broker/dealers’ recommendations into these private placements.  These securities, offered through private placement were designed to raise money for mortgages or distressed mortgage notes after the real estate crash in 2008. These funds […]

September 20, 2013
FINRA Reminds Investors to Evaluate the Risks of Private Placements

Private placements are securities in non-public offerings that are exempt from registration under the federal securities laws. Billions of dollars are raised each year by selling these securities. Private placements can be a good source of capital for American businesses, especially start-up companies. However, investing in private placements is risky business and can tie up […]

August 20, 2013
FINRA Fines Totaling $3.2 Mill For Private Placement Sales

The Financial Industry Regulatory Authority (FINRA) sanctioned the following eight firms and 10 individuals, and ordered restitution totaling more than $3.2 million, for selling interests in private placement offerings without having a reasonable basis for recommending the securities. The firms and individuals sold interests in several high-risk private placements, including those issued by Provident Royalties, […]

May 20, 2013
vFinance of Boca Raton Sanctioned by FINRA

The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, May, 2013.” vFinance Investments, Inc. (CRD #44962, Boca Raton, Florida) consented to the described sanctions and to the entry of findings that it acted as the private placement agent for a placement of up to $5 million in convertible notes a company […]

February 12, 2013
DID YOU PURCHASE THESE REITS?

Last week LPL Financial Holdings agreed to pay $2.5 million in fines and restitution for improperly supervising brokers who sold non-traded real estate investment trusts. (Please note that LPL neither admitted nor denied wrongdoing.) These non-traded REITs are high-yielding and very popular. These non-traded REITs have jumped about 50% since 2009, to $65 billion. They […]

February 12, 2013
LPL REIT INVESTORS WARNING!!!!

In an article in the Wall Street Journal, Feb. 11, 2013, Matthew Heimer writes that ever since the Federal Reserve started pushing interest rates to new lows, it’s been a common theme for retirees and other conservative investors accepting more risk to get a decent income from their portfolios. Last week LPL Financial Holdings agreed […]

February 11, 2013
FINRA Filings from Conservative Investors Who Were Sold Complex Products is on the Rise

Financial regulators are confronting investor frauds that are giving retirement savers steep losses on complex products that until a few years ago were aimed only at the most sophisticated investors, writes Nathaniel Popper in a New York Times article from Feb. 11, 2013. These victims are among the millions of Americans whose mutual funds and […]

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