Securities Broker William Friedman (Newbridge, Woodstock Financial) Discloses FINRA Suspension, Investor Disputes Soreide Law Group has new information to share with you concerning securities broker and financial advisor William Sidney Friedman (CRD#: 2475502, Boca Raton, Florida). Evidently, Friedman worked for securities firms Newbridge Securities Corporation (2007 to 2017), Woodstock Financial Group (2017 to 2019) and […]

Did You Suffer Losses By Investing In Moody National REIT II? Soreide Law Group is investigating potential investor lawsuits against financial advisors or securities brokers who may have sold or recommended investments in Moody National REIT II Inc. Namely, in August 2021, the Board of Directors of this non-traded REIT suspended the valuation of its […]

Medley LLC Files Bankruptcy The investment loss recovery lawyers at Soreide Law Group are reviewing possible investor claims against securities brokers and financial advisors who may have recommended investments in Medley LLC, run by Medley Management Inc. -- an alternative asset management firm. Notably, Medley LLC has filed for bankruptcy and investors might face large […]

Clients Of Hilltop Securities Dispute Sales Practices Of Broker Walter Valenzuela Soreide Law Group has new information to share with you concerning securities broker Walter Roland Valenzuela (CRD#: 2280224, San Diego, California). Evidently, 14 investors filed disputes about this securities broker. It appears that six investors filed disputes since 2020 alleging sales practice violations by […]

Securities Broker Todd Phillips Serves Suspension As Securities Broker, Faces ProEquities Investors' Disputes About FIP LLC Purchases Soreide Law Group provides you with important information relating to sanctions and investment disputes reported on the Financial Industry Regulatory Authority (FINRA BrokerCheck record of securities broker David Todd Phillips (CRD#: 3094195, Gilbert, Arizona). Namely, Phillips, who worked […]

FINRA's Complaint Alleges Gregory Lewis' Misconduct Concerning StockKings The Financial Industry Regulatory Authority (FINRA) Department of Enforcement filed a complaint against securities broker Gregory Antonius Lewis (CRD#: 2793976, St. Petersburg, Florida). Specifically, the securities broker, who worked for StockKings Capital LLC since June 2013, is accused of misconduct relating to private securities offerings. Soreide Law […]

Worden Capital Managment Clients File Disputes Concerning Broker Christ Baltas The Financial Industry Regulatory Authority (“FINRA”) reported that investors filed disputes about securities broker Christ Elias Baltas (CRD#: 2570499, Melville, New York). Namely, two investors filed disputes about Baltas’ sales practices. Those disputes seem to concern his actions while working for Worden Capital Management (Melville, […]

FINRA Issues Sanction To Securities Broker Enoch Booth It appears that FINRA barred securities broker Enoch Stanley Booth (CRD#: 4370233, Columbia, South Carolina). Evidently, the financial industry watchdog decided on July 20, 2021 to bar Booth as securities broker. This is for his alleged failure to provide documents to FINRA throughout its investigation that focused […]

Securities Broker Doug Hyer (First Allied Securities) Involved In Investor Dispute New information is reported on BrokerCheck as it relates to securities broker Douglas “Doug” Keith Hyer (CRD#: 254358, Great Neck, New York). Specifically, FINRA reports that four investors filed disputes about the securities broker, and these concern Hyer’s actions at various institutions where he […]