Soreide Law Group is investigating possible investor claims against securities broker Chay Thomas Lapin (CRD: 6275140, Torrance, California). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Wealthforge Securities LLC. Supposedly, one or more individuals claim that Lapin breached a fiduciary duty and […]

Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552, has obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, October, 2013.” Dawson James Securities, Inc. (CRD #130645, Boca Raton, Florida) was censured and fined $12,500. Without admitting or denying the findings, the firm consented to the described sanctions and to […]

Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552, has obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, October, 2013.” Dawson James Securities, Inc. (CRD #130645, Boca Raton, Florida) was censured and fined $12,500. Without admitting or denying the findings, the firm consented to the described sanctions and to […]

Soreide Law Group, a Securities Arbitration Lawfirm, (888) 760-6552, has obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, September, 2013.” Robert Brian Kay (CRD #1133657, Registered Principal, Las Vegas, Nevada) was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations, Kay consented to […]

Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, July, 2013.” GlobaLink Securities, Inc. (CRD® #29721, Pasadena, California) and Junhua Michael Liao (CRD #4278425, Registered Principal, San Gabriel, California) the firm was fined $20,000, jointly and severally with Liao. Liao was […]

Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, July, 2013.” Gary Mitchell Spitz (CRD #1828144, Registered Principal, Fairfield, Iowa) was fined $5,000 and suspended from association with any FINRA member in any principal capacity for one year. Without admitting or […]

The following is a summary of information that appeared on FINRA's website: Arete Wealth Management, LLC (CRD #44856, Schaumburg, Illinois) was censured and fined $25,000. Without admitting or denying the findings, the firm consented to the described sanctions and to the entry of findings that it approved a private offering to customers and failed to […]

  Brett Henderson (CRD #2420629, Registered Representative, North Salt Lake City, Utah) was fined $95,000, which includes restitution of $82,505 payable to customers, and suspended from association with any FINRA member in any capacity for 11 months. Henderson consented to the described sanctions and to the entry of findings without admitting or denying the allegations, […]

Lars K. Soreide, of Soreide Law Group, PLLC, filed a FINRA arbitration in February of 2012, against National Securities Corporation alleging: negligence, negligent supervision, and breach of fiduciary duty, due to among other unsuitable investments, the sale of Roundstone Healthcare Capital Partners. Recently, Roundstone Healthcare Partners, and its affiliates, have filed a RICO suit against numerous defendants in […]