Private placements are securities in non-public offerings that are exempt from registration under the federal securities laws. Billions of dollars are raised each year by selling these securities. Private placements can be a good source of capital for American businesses, especially start-up companies. However, investing in private placements is risky business and can tie up […]

The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, September, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Daniel Patrick Deighan (CRD #1029361, Registered Principal, Merritt Island, Florida) was fined $27,500 and suspended from association with any FINRA member in any capacity for seven months. Without […]

The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, September, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Daniel Patrick Deighan (CRD #1029361, Registered Principal, Merritt Island, Florida) was fined $27,500 and suspended from association with any FINRA member in any capacity for seven months. Without […]

The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, May, 2013.” vFinance Investments, Inc. (CRD #44962, Boca Raton, Florida) consented to the described sanctions and to the entry of findings that it acted as the private placement agent for a placement of up to $5 million in convertible notes a company […]

Soeide Law Group is currently investigating broker, Bambi I. Holzer, CRD #1088028. Ms. Holzer is currently a registered representative with Newport Coast Securities of Beverly Hills, CA. There have allegedly been numerous (over 50) reports filed against her in her 25+ year career, and over $11 million in awards and settlements. Several of these complaints […]

Did your broker/dealer sell you, an unaccredited investor, private placements in Breakthrough Ventures? Soreide Law Group is currently investigating claims against the brokers who sold these private placements to clients in the United States and Europe. This private placement may not be suitable for some investors, especially the more conservative investor, not willing to take […]

The Securities and Exchange Commission (SEC) voted yesterday to allow the issuers of private securities, such as hedge funds, to advertise their offerings and make solicitations to the public writes Dan Jamieson for InvestmentNews.com. This rule change is mandated under the "Jumpstart Our Business Startups Act." Solicitation and advertising of private offerings, which would include […]