Soreide Law Group is currently reviewing potential investor claims involving possible misconduct by securities brokers and financial advisors. One product under scrutiny is 4ANDJ, DST, a Delaware Statutory Trust that has been marketed to investors seeking alternative real estate–based opportunities. Recent developments reveal troubling information about this investment that investors should carefully consider. The following […]

Soreide Law Group is reviewing potential investor claims connected to the 352 Capital Fund and possible sales practice violations by securities brokers and financial advisors. The fund, linked with Jefferies Financial Group Inc., has been the subject of troubling reports involving undisclosed risks and conflicts of interest. Investors should be aware of this adverse information, […]

Soreide Law Group is currently reviewing potential claims from investors who may have been harmed by the improper sale of complex securities products. One such product is known as a “Worst-Of” Basket Note. While these investments are often presented as offering diversification and enhanced yields, there is troubling information about how they work that investors […]

Soreide Law Group is reviewing potential investor claims tied to possible sales practice violations by brokers and financial advisors. One product that has raised concerns is known as “Buffered Notes.” These securities, sometimes sold under names such as Buffered PLUS, Barrier Notes, or Trigger Yield Notes, are promoted as offering protection against market declines while […]

Investors reportedly complained about securities broker Adam Edward Brunin [CRD: 4407663, Fort Collins, Colorado], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Brunin worked for Sigma Financial Corporation from November 8, 2005 to February 22, 2016. He is President of Navigation Wealth Management Inc. as of February 2016, and […]

One or more investors apparently complained about securities broker Kelly Eugene Dale [CRD: 2711340, Atlanta, Georgia], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Dale has been registered with American Capital Partners LLC (CRD#: 119249), located at 6000 Lake Forrest Drive N.W., Suite 325, Atlanta, Georgia, since February 1, 2013. Evidently, Kelly Dale […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Gene Tulley West Jr. (CRD: 1569050, Greenwood Village, Colorado). West has been registered with RBC Capital Markets LLC since March 2, 1998, and has over 38 years of experience in the securities industry. Recent disclosures reveal concerns about West’s conduct, including allegations of unsuitable […]

Soreide Law Group is conducting an investigation on behalf of investors who have suffered losses due to the actions of securities broker James J. Mariani (CRD#: 2932631, Mineola, New York). Evidently, Mariani has been affiliated with Aegis Capital Corp. from September 2017 to September 2021 and National Securities Corporation from January 2007 to September 2017. […]

Investors have come forward with complaints about Shawn Conan Spellacy [CRD: 2275119, Fair Oaks, California]. Evidently, the securities broker, who worked for Calton Associates Inc., discloses client disputes via Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Calton Associates Inc. clients allege unsuitable trading. For more on these disclosures about Spellacy, see below. Calton Associates Inc. […]