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 […]

There were allegations filed with the Financial Industry Regulatory Authority or FINRA Dispute Resolution, which state that a broker-dealer with AXA Advisors in Orange County, California, persuaded a retired couple, and a retired woman, to invest in essentially worthless and inappropriate investments. This alleged Ponzi scheme preyed on retired Filipino-Americans. The clients allege that the […]

The following information was obtained on FINRA’s website’s ‘Disciplinary Actions, February 2012.”   Neal Seth Smalbach (CRD #1459854, Registered Principal, Palm Harbor, Florida)   submitted an Offer of Settlement in which he was barred from association with any FINRA member in any capacity.   Without admitting or denying the allegations, Smalbach consented to the described […]