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November 29, 2012
Roman Sledziejowki Defrauded Fellow Poles $4 mill

FINRA, the Financial Industry Regulatory Authority, alleges Roman Sledziejowski, the Polish president and owner of TWS Financial, LLC, in Brooklyn, N.Y., used customer funds for his own use and gave false statements to clients from June, 2009, through August, 2012. FINRA alleges Sledziejowski defrauded three Polish customers of more than $4 million by taking money […]

November 29, 2012
Florida Broker Fined and Suspended for Misrepresentation of Educational Background

The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, November, 2012.” Robert Joseph Eanell (CRD #2802778, Registered Representative, St. Petersburg, Florida) fined $7,500 and suspended from association with any FINRA member in any capacity for 30 business days. Without admitting or denying the findings, Eanell consented to the described sanctions and […]

November 27, 2012
FINRA Improves 'BrokerCheck' Capabilities

FINRA, the Financial Industry Regulatory Authority announced that it has added features to BrokerCheck to help users more easily access broker-dealer and investment adviser information. Many of the changes implemented by FINRA address recommendations made in a January, 2011. study by the Securities and Exchange Commission (SEC) reported FINRA in an article on their website. […]

November 27, 2012
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, Registered Principal, Pompano Beach, Florida) submitted an Offer of Settlement in which he was fined $7,500 and suspended from association with any FINRA member in any capacity for two years. Without admitting or denying the […]

November 26, 2012
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 was working for Merrill Lynch in Boston as a financial advisor at the time. O'Brien allegedly told an elderly woman she was investing her money in thousands of shares of a New Hampshire-based company called […]

November 16, 2012
FINRA Enforcing Annuity Sales Rules

The Financial Industry Regulatory Authority, also known as FINRA, has been enforcing all types of annuity transaction misdeeds nationwide according to recent enforcement reports from the agency, writes Elizabeth Festa in a recent article for LifeHealthPro.com. FINRA recently censured a firm and fined it $40,000 to settle allegations that the firm failed to maintain required […]

November 13, 2012
UBS Willow Fund, LLC

Soreide Law Group is currently investigating potential claims for clients who lost money in UBS Willow Fund, LLC. The UBS Willow Fund is a close-ended fixed income mutual fund that launched in 2000, and is managed by UBS Willow Management, L.L.C. The Willow Fund primarily invests in the fixed income markets of the United States. […]

November 1, 2012
Attorney Lars Soreide of Soreide Law Group files FINRA actions against Ellen Erenstein formerly registered with Investors Capital for selling Tenant in Common Investments and other High Risk Private Placements

Attorney Lars Soreide, of Soreide Law Group, has filed a FINRA arbitration against Ellen Erenstein, and Investors Capital, for the sale of Tenants In Common (TIC) real estate investments and other high risk private placements. The TIC’S and alternative investments sold to Soreide Law Group’s client that Ms. Erenstein recommended, have not performed well and […]

October 31, 2012
Bluerock Real Estate Private Placement of BR Senior Secured Debenture Trust, LLC

Currently, the Soreide Law Group is investigating the sales and marketing of Bluerock Real Estate's private placement offering of BR Senior Secured Debenture Trust, LLC. According to the description, "The Trust is a wholly-owned subsidiary of Bluerock Real Estate, LLC (“Bluerock”). Bluerock is a national real estate investment firm headquartered in Manhattan, focused on acquiring, […]

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