If you invested in Energy Resources 12 LP through David Lerner Associates, you may have concerns about the value of your investment. This investment vehicle, designed to provide individual investors access to the oil and gas industry within the United States, has faced challenges. Below, Soreide Law Group will provide a quick summary of the […]

Investors possibly experienced losses because of securities broker Richard Glenn Shaw (also known as Rick Glenn Shaw) [CRD: 1870018, Scottsdale, Arizona], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Richard Shaw has worked for Lincoln Financial Advisor Corporation (now known as OSAIC FA Inc.) since June 1, 1998. Here’s more about the […]

Investors complained about securities broker / financial advisor Michael Joseph Valenta (also known as Mike Valenta) [CRD: 1386978, Westminster, Colorado], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Michael Valenta joined Cambridge Investment Research Inc. on June 19, 2008. The following information is an overview of the securities broker’s disclosures. Cambridge Investment […]

Florida-based Soreide Law Group, (888) 760-6552, obtained the following summation of information from FINRA's website under “Disciplinary and Other FINRA Actions, February, 2015.” Brian Lewis Pittman (CRD #2963196, Naples, Florida) was assessed a deferred fine of $7,500 and suspended by FINRA for four months for allegedly participating in private securities transactions, specifically the sale of […]

The following summation of information is available on FINRA's Website under “Disciplinary and Other FINRA Actions, April, 2014.” Jeffrey Robert Alexander (CRD #5387133, Registered Representative, Colorado Springs, Colorado) was fined $5,000 and suspended by FINRA for three months. Alexander allegedly recommended investors purchase interests in an oil and gas program to fund the drilling of […]

There was a FINRA arbitration filed against Raymond James Financial for alleged over-concentration into risky oil and gas Canadian Royalty Trust stocks. The case alleges that the investors, a retired man in his 60s, and his mother who is 90 years-old, had brokerage accounts with Raymond James Financial, Inc. Their financial advisor recommended that they […]

There was a FINRA arbitration filed against Raymond James Financial for alleged over-concentration into risky oil and gas Canadian Royalty Trust stocks. The case alleges that the investors, a retired man in his 60s, and his mother who is 90 years-old, had brokerage accounts with Raymond James Financial, Inc. Their financial advisor recommended that they […]

Soreide Law Group is currently investigating claims on behalf of investors who were sold Reef Oil and Gas partnerships based on the recommendations of their brokers/financial advisors. Reef Oil and Gas partnerships may not suitable for conservative investors due to their high risk. Reef Oil and Gas Partners L.P. is based in Richardson, Texas, founded […]

Soreide Law Group is currently investigating claims on behalf of clients who were sold the Reef Lake Arthur Deep Joint Venture Fund by their brokers. This proprietary oil and gas drilling fund was sold by Reef Securities brokers. Investors have suffered a near total loss with this fund. If you invested in the Reef Lake […]