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May 31, 2019
UBS YES LOSSES?

YIELD ENHANCEMENT STRATEGY (UBS YES) LOSSES? Soreide Law Group is evaluating possible claims against UBS on behalf of investors who purchased the UBS Yield Enhancement Strategy (“UBS YES”). Evidently, investors lost money from investing in the program, and investors are suing to recover their investment losses. UBS Allegedly Erroneously Markets Yield Enhancement Program As Conservative […]

March 23, 2019
SEC Bars Wedbush Securities Broker Timary Delorme For Fraudulent Trading Scheme

SEC Bars Wedbush Securities Broker Timary Delorme For Fraudulent Trading Scheme The Securities and Exchange Commission (“SEC”) issued an Order #3-18410 dated March 27, 2018 barring Wedbush Securities Inc. broker Timary Delorme (CRD#: 736418, Los Angeles, California) from engaging in brokerage or investment advisory activities. Specifically, Delorme, 60, submitted an Offer of Settlement to the […]

February 28, 2019
ATTENTION INVESTORS: Complaints Filed Against LPL Financial Brokers Michael Botwinick, Christopher Dunlap, Brian Midi

ATTENTION INVESTORS: Complaints Filed Against LPL Financial Brokers Michael Botwinick, Christopher Dunlap, Brian Midi Soreide Law Group is reviewing possible investor claims against brokers of LPL Financial LLC (CRD#: 6413, Boston, Massachusetts) who may have engaged in sales practice violations. Notably, the firm disclosed through Financial industry Regulatory Authority (“FINRA”) that customers brought fifty-four investment-related […]

February 26, 2019
INVESTOR WARNING! Complaints Filed Against BBVA Securities Brokers Samuel Doria, Whitney Streck, Roberto Clynes

INVESTOR WARNING! Complaints Filed Against BBVA Securities Brokers Samuel Doria, Whitney Streck, Roberto Clynes BBVA Securities Inc. (CRD#: 27060, New York, New York) is a brokerage firm regulated by the Financial Industry Regulatory Authority (“FINRA”). Since establishment, BBVA Securities Inc. reports eight instances in which securities regulators or the firm’s customers have alleged the firm […]

February 22, 2019
INVESTORT ALERT: Customer Complaints Filed Against Presidential Brokerage, Gregory Williams

INVESTORT ALERT: Customer Complaints Filed Against Presidential Brokerage, Gregory Williams Gregory Jon Williams (CRD#: 1561089, Greenwood Village, Colorado) is a licensed securities representative of Presidential Brokerage, Inc. Apparently, he has transacted with investors through the Greenwood Village, Colorado offices as early as April 20, 2011. The Financial Industry Regulatory Authority (“FINRA”), who regulates broker-dealers and […]

February 20, 2019
LPL Financial Disaffiliates With Mark Thomas Lamkin For Private Securities Transactions

LPL Financial Disaffiliates With Mark Thomas Lamkin For Private Securities Transactions Mark Thomas Lamkin (CRD#: 2121510, Louisville, Kentucky) is a prior LPL Financial LLC securities representative. Apparently, Lamkin worked in the firm’s Louisville, Kentucky offices between February 9, 2001 and September 14, 2018. Notably, LPL Financial LLC discharged Lamkin for engaging in misconduct that could […]

February 19, 2019
FINRA Issues Fine And Suspension To LPL Financial LLC’s Melvin Case

FINRA Issues Fine And Suspension To LPL Financial LLC’s Melvin Case Melvin Elwood Case (CRD#: 2393464, Jacksonville, Florida) is a prior general securities representative for LPL Financial LLC. Notably, on January 19, 2018, FINRA issued Case a $5,000 fine and six month suspension from having any association with a FINRA member in all capacities for […]

February 8, 2019
Investor Alert! Complaints Against Joshua Johner, Stephen Hendy, Scott Nordblom

Investor Alert! Complaints Against Joshua Johner, Stephen Hendy, Scott Nordblom PFS Investments Inc. (CRD#: 10111, Duluth, Georgia) is both an investment adviser firm regulated by the Securities and Exchange Commission (“SEC”) and brokerage firm regulated by the Financial Industry Regulatory Authority (“FINRA”). Currently, on FINRA BrokerCheck, the firm discloses seventeen regulatory events and two arbitrations. […]

February 7, 2019
Customer Complaints Filed Involving NYLife Securities’ Jeffrey Sleeper

Title goes here NYLife Securities LLC (CRD#: 5167, New York, New York) is a brokerage firm which Financial Industry Regulatory Authority (“FINRA”) regulates. Notably, the firm reports on FINRA BrokerCheck that on ten occasions, FINRA or another regulator filed an action against the firm for misconduct. Apparently, those actions concern the firm’s failure to conform […]

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