Horizon Private Equity III LLC Losses? Soreide Law Group is reviewing whether to bring lawsuits on behalf of those who invested in Horizon Private Equity III LLC, operated by John Justin Woods (CRD#: 1949233, Atlanta, Georgia). Notably, John Woods, who worked as an Oppenheimer Co. Inc. securities broker and financial advisor (January 2003 to December […]

LPL Broker James Booth Defrauds, Steals From Clients Soreide Law Group provides this latest update surrounding a problem securities broker by the name of James Thomas Booth (CRD#: 1906145, Norwalk, Connecticut). Notably, Financial Industry Regulatory Authority (“FINRA”) reports that 36 investors – including LPL Financial and Investment Financial Corporation clients – brought lawsuits or complaints […]

STEVE PAGARTANIS Liable For Misrepresenting Investments The Financial Industry Regulatory Authority (“FINRA”) disclosed on June 26, 2019, that a FINRA Arbitration Panel issued an Award in FINRA Arbitration #: 18-01353, requiring that Cadaret, Grant Co. Inc. securities broker Steven Pagartanis (CRD#: 1955579, Setauket, New York) pay $1,462,000 in compensatory damages to a Cadaret client who […]

Western International Securities Broker Dawn Bennett Guilty Of Fraud Dawn Bennett (CRD#: 1567051, Chevy Chase, Maryland) has been a registered representative of Western International Securities, Inc. between October 1, 2009 and December 1, 2015. On October 17, 2018, the United States Attorney’s Office for the District of Maryland announced that a federal jury found Bennett […]

Soreide Law Group obtained the following information from FINRA’s Disciplinary Actions January 2017: Stuart Graham Dickinson (CRD #1047824, Highland Park, Texas) was barred by FINRA and required to pay $924,000, plus interest, in restitution to clients for allegedly selling securities without reasonable grounds for believing that the investment was suitable for any investor. FINRA’s findings […]

JEROME P. BONNETT JR (CRD# 2143822) (JEROME "JOE" BONNETT JR, JEROME PATRICK BONNETT, JR.) 51 years-old, from Omaha, Nebraska, killed himself in May, 2016, after his Bonnett Wealth Management began unraveling, with allegations that he paid old investors with proceeds from new ones, borrowed money from clients and forged documents. Also in May, Bonnett was […]

The following article appeared in “Financial Planning” on January 13th., 2016, and quotes Lars Soreide, Esq. of Soreide Law Group. This is a portion of that article: “Barred Advisor’s $2M Ponzi Scheme Pits Ex-Client Against Firm By Andrew Welsch January 13, 2016 Last year authorities charged a now-barred advisor with running a $2 million Ponzi […]

Soreide Law Group, PLLC, phone (888) 760-6552, has obtained the following summation of information from FINRA’s website, under “Disciplinary and Other FINRA Actions, May, 2014.” James Daniel Helgeson (CRD #1016562, Billings, Montana) was given a deferred fine of $5,000 and suspended by FINRA for one month. According to FINRA's report, allegedly Helgeson did not provide […]

The Soreide Law Group, (888) 760-6552, has obtained the following summation of information from FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2014.” Lunick Jean Dorleus (CRD #5436401, Registered Representative, Greenacres, Florida) was suspended from association with any FINRA member in any capacity for nine months. Dorleus and others formed an investment club where […]