HJ Sims Broker Larry Wolfe Apparently Commits Elder Exploitation Soreide Law Group is reviewing possible investor claims against securities broker Larry Charles Wolfe [CRD#: 502361, Boca Raton, Florida]. Notably, Financial Industry Regulatory Authority ("FINRA") BrokerCheck discloses that at least 16 clients disputed the sales practices of the securities broker, who worked for HJ Sims and […]

There have been claims filed with the Financial Industry Regulatory Authority (FINRA) against the NNN Capital Opportunity Fund, LLC, in connection with the sale of defective financial products. Subject to review it appears to have retained its value well during the financial crisis, then imploded thereafter. Many of these products are manufactured for retail sale to the investment public with […]

Securities Attorney, Lars Soreide, of Soreide Law Group, PLLC, would like all investors to take note of the warnings coming from both FINRA, the Financial Industry Regulatory Authority, and the SEC, the Securities and Exchange Commission this past week. FINRA has warned all investors to watch for structured products that are callable, promise principal protection or have returns […]

In an article from InvestmentNews.com, on July 25, 2011, Dan Jamieson writes that FINRA has warned investors about chasing yield with structured products, junk bonds and floating-rate bank-loan funds. The Financial Industry Regulatory Authority (FINRA) issued an investor alert about the risks found in these and other products. The alert was prompted by "significant recent inflows" […]