Tsunami Lakeshore Integrated Funds
Did your broker sell you the Tsunami Lakeshore Integrated Funds? The Tsunami Lakeshore Integrated Fund, LLC, is being investigated by [...]
Former Broker Charged by SEC with Defrauding Investors in Mortgage Backed Securities (MBS)
The Securities and Exchange Commission (SEC) today, January 29th., 2013, on it's website announced that it has charged a former [...]
SEC’s Statistics Positive News for Investors
The Securities and Exchange Commission, also known as the 'SEC,' has filed 734 enforcement actions the fiscal year that ended [...]
Did You Invest in Wells Timberland REIT?
Soreide Law Group is currently investigating the Wells Timberland REIT for the investors who suffered financial losses. FINRA, the Financial [...]
Were You a Client of Gary Harrison Lane?
Securities Attorney, Lars Soreide, of Soreide Law Group was recently quoted in an article from the Reno Gazette-Journal, written by [...]
$42 Million Ponzi-Like Scheme Shut Down by SEC
The Securities and Exchange Commission (SEC) announced that it obtained an emergency court order to halt an alleged Ponzi-like scheme [...]
SEC Charges in Oil Drilling Scam by South Floridian Joseph Hilton/Yurkin
The Securities and Exchange Commission (SEC) recently announced that it has obtained an emergency court order to freeze the assets [...]
David L. Rothman Charged with FRAUD on Elderly Clients
On the SEC's (Securities and Exchange Commission) website, it was announced they filed an injunctive action in the United States [...]
Charles Bishop, Jr., Pompano Beach, FL, Fined and Suspended by FINRA for Misappropriation of Funds (aprox. $3mill) from an Elderly Client
The following information was found on FINRA's website's "Disciplinary and Other Actions, November, 2012." Charles Eugene Bishop Jr. (CRD #1621380, [...]
Former Boston Merrill Lynch Financial Advisor Facing Securities Fraud
Jane E. O'Brien, 59, of Needham, MA, is facing securities fraud for allegedly bilking her client out of $240,000. O'Brien [...]
Lars Soreide, of Soreide Law Group, Wins $158,000 Award for Clients from Harvest Capital, LLC, for the Sale of Fictitious Notes from their Former Registered Representative, Gregg Rennie
FINRA Case Number 11-01278, awards $158,250.00 to the defrauded Claimants for the alleged supervisory failures of Harvest Capital, LLC, of [...]
Georgia Rep Barred by FINRA for Giving Out Client’s Confidential Bank Account Information
Carlos Dawkins aka Andy Dawkins (CRD #5340915, Registered Representative, Douglasville, Georgia) submitted a Letter of Acceptance, Waiver and Consent in [...]
Coconut Creek, FL, Rep Barred by FINRA
Valerie Helen Silverstein (CRD #1413711, Registered Representative, Coconut Creek, Florida) was barred from association with any FINRA member in any [...]
North Palm Beach, FL, Rep Barred by FINRA
William Thomas Johnson Jr. (CRD #1189117, Registered Representative, North Palm Beach, Florida) was barred from association with any FINRA member [...]
Agent Charged In Life Insurance Fraud
On July 25th., 2012, the U.S. Attorney's Office in Baton Rouge, La., charged Timothy R. Schlatre with mail fraud, money laundering [...]
Michael Todd Crosswhite Pleads Guilty in Alleged $1million Ponzi Scheme
It was recently reported that Michael Todd Crosswhite, 42, of Forest, Virginia, a financial adviser, admitted that he stole more than [...]
FINRA Awards $1.9 Million in Churning Case
JHS Capital Advisors Inc. and a former broker, Enver R. Alijaj, were fined $1.9 million in a Finra arbitration last week stemming [...]
New York Rep Barred by FINRA
Thomas Edward Kelly (CRD #1386403, Registered Principal, Johnson City, New York) was barred from association with any FINRA member in [...]
Orlando Ponzi Scheme Based on “Astrology”
Soreide Law Group, PLLC, has begun investigating potential claims against Money Concepts Capital Corp. and broker, Gurudeo "Buddy" Persaud. The Securities and [...]
Mackinac Island Rep, Gary Cousino, Barred by FINRA
Gary Lee Cousino (CRD #726486, Registered Representative, Mackinac Island, Michigan) has been barred from association with any FINRA member [...]