Investors potentially experienced sales practice violations by securities broker Brian Dunn [CRD: 4574012, San Francisco, California], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Brian Dunn worked for Mercury Investment Services LLC from March 14, 2024, to January 22, 2025, and previously worked for Growth Capital Services Inc. from June 4, […]

Soreide Law Group is investigating potential investor claims involving sales practice violations by securities brokers and financial advisors connected to private placement and alternative investment sales. One product drawing attention is the Oak Harbor Capital Special Opportunities Master Fund, a private fund marketed around “special situations” investing where managers seek to profit from distressed assets, […]

Soreide Law Group is investigating potential investor claims involving sales practice violations by securities brokers and financial advisors related to Trinity Ivy Flats Investors LLC. This investment involved a private real estate offering that was marketed to investors seeking income or diversification but may have carried risks that were not fully understood at the time […]

Soreide Law Group is investigating potential investor claims involving sales practice violations by securities brokers and financial advisors in connection with certain alternative investment products. One such investment is Trinity Almand Creek Investors LLC, a private real estate offering that was marketed to investors through financial professionals. There is adverse information concerning this investment that […]

Investors apparently complained about securities broker Steven Bae Cho [CRD: 2610257, Red Bank, New Jersey], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Cho worked for Herbert J. Sims Co. Inc. beginning on February 1, 2019, and later became registered with Herbert J. Sims Capital Management Inc. on August 18, 2021, after previously […]

Investors potentially experienced sales practice violations by securities broker Brett Michael Frum [CRD: 2175253, Green Bay, Wisconsin], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Frum worked for AEI Securities Inc. from April 7, 2021, to August 17, 2021, and later became registered with KCD Financial Inc. beginning November 3, 2021, including registrations […]

Investors potentially experienced sales practice violations by securities broker Matthew Ian Zagon (also known as Matt Zagon) [CRD: 2165362, Syosset, New York], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Matthew Zagon has been registered with Cova Capital Partners LLC since July 11, 2016. Investors should review the information below to […]

Soreide Law Group is investigating potential investor claims involving alleged sales practice violations by securities brokers and financial advisors in connection with Resource Anadarko Royalties LLC. Resource Anadarko Royalties LLC is a private oil-and-gas investment offering focused on mineral and royalty interests, a type of product frequently promoted as an income-generating alternative investment. There is […]

Soreide Law Group is investigating potential investor claims involving possible sales practice violations by securities brokers and financial advisors in connection with Rising Phoenix Opportunity Fund IV LLC. Rising Phoenix Opportunity Fund IV was a private oil and gas investment that raised millions of dollars from investors seeking income, tax advantages, or exposure to the […]