Latest Securities Lawyer News

An $8,500,000 customer arbitration filed September 29, 2026, names Joseph Langlois (CRD 4216281) and Dfpg Investments. BrokerCheck shows the customer's allegations about alternative investments are pending and unproven. No arbitrator has ruled on them.

Colorado securities law is among the grounds in a pending arbitration filed October 14, 2026, naming Ryan Finch (CRD 6379871). The claimants list $450,000 in alleged damages over a limited partnership investment at Emerson Equity.

Customers filed a pending arbitration on September 17, 2026, naming William Burks (CRD 2944992) and Centaurus Financial. BrokerCheck shows their allegations involve illiquid investments. Burks denies the claim, and no arbitrator has ruled on it.

A pending customer dispute on BrokerCheck names Lion Street Financial as the firm and Tim Clairmont (CRD 2847591) as the broker. The claimants filed it on September 24, 2026. Their allegations are unproven, and no arbitrator has ruled on them. The same report lists a much older settled dispute at Woodbury Financial.

Summit Brokerage and Independent Financial Group each appear on a pending customer claim naming Gilbert Conrad (CRD 2746778). Both claims are unproven allegations. His BrokerCheck report also lists settled disputes at Arkadios Capital and Independent Financial Group.

Christopher Miller (CRD 4044818) has a customer dispute on BrokerCheck that settled on October 7, 2026 for $50,901. The disclosure lists Emerson Equity as the firm.

Realized Financial customer claims over real estate investments name Jacob Adams (CRD 4975889) in pending FINRA arbitrations. The claims are unproven allegations, and no arbitrator has ruled on them. Adams responded to each in a statement on BrokerCheck.

Settled customer disputes over non-traded REITs fill much of Roberto Leslie's BrokerCheck report. Leslie (CRD 2755940) appears in disputes that name Essex National Securities and Infinex Investments. One, at Infinex, involved an annuity rather than real estate.

Soreide Law Group is investigating potential investor claims involving financial advisors and securities brokers who recommended CIM Real Estate Finance Trust, formerly known as Cole Credit Property Trust IV. CMFT was sold as a non-traded REIT, but a 2026 restructuring ended its REIT status and substantially altered investors’ ownership, income, tax, and liquidity expectations. Investors […]