There have been claims filed with the Financial Industry Regulatory Authority (FINRA) against the NNN Capital Opportunity Fund, LLC, in connection with the sale of defective financial products. Subject to review it appears to have retained its value well during the financial crisis, then imploded thereafter. Many of these products are manufactured for retail sale to the investment public with […]

Securities Attorney, Lars Soreide, of Soreide Law Group, PLLC, would like all investors to take note of the warnings coming from both FINRA, the Financial Industry Regulatory Authority, and the SEC, the Securities and Exchange Commission this past week. FINRA has warned all investors to watch for structured products that are callable, promise principal protection or have returns […]

There are many questions about how Wall Street marketed a very complex product, sold as solid and secure, now emerging in investor arbitration cases. The product is named, incorrectly as it turns out, “100 percent principal protected  notes.” Securities regulators had warned brokerage firms that they should take special care when selling PPN's and other structured products to retail customers […]