Securities Broker Bill Baumner Accused By Clients Of Negligence, Breach Of Fiduciary Duty Soreide Law Group is closely reviewing possible investor claims against securities broker William “Bill” Louis Baumner IV (CRD#: 2298690, Boca Raton, Florida). Baumner spent 2010 to 2017 at Buckman, Buckman Reid, who disaffiliated with him for not following company policy on client […]

Accelerated Capital Group's Wayne Miiller Supposedly Responsible For Bad Private Placement Offerings Investor Alert! Five clients of securities broker Wayne Ivan Miiller (CRD#: 4813645, Scottsdale, Arizona) filed disputes about his sales practices, according to Financial industry Regulatory Authority (“FINRA”) BrokerCheck Reports. Notably, these investors’ disputes suggest that Miiller was responsible for private placement offerings that […]

LPL Broker Kevin Kuhlow Supposedly Caused Clients' Losses On Private Placements Soreide Law Group is investigating potential lawsuits against LPL Financial and securities broker Kevin Joseph Kuhlow (CRD#: 1993792, Los Gatos, California). Evidently, Financial Industry Regulatory Authority (“FINRA”) BrokerCheck reports that 9 clients opposed actions taken by the securities broker, who associated with LPL Financial […]

Soreide Law Group is currently investigating the following Vertical Funds on behalf of our clients who have suffered devastating losses due to their broker/dealers’ recommendations into these private placements.  These securities, offered through private placement were designed to raise money for mortgages or distressed mortgage notes after the real estate crash in 2008. These funds […]

The following summation was obtained from FINRA’s website under “Disciplinary and Other FINRA Actions, November, 2013.” Martinez-Ayme Financial Group Incorporated dba Martinez-Ayme Securites (CRD #109838, Miami, Florida) was censured and fined $25,000. Without admitting or denying the findings, the firm consented to the described sanctions and to the entry of findings that an issuer raised […]

The following summation was obtained from FINRA’s website under “Disciplinary and Other FINRA Actions, November, 2013.” Martinez-Ayme Financial Group Incorporated dba Martinez-Ayme Securites (CRD #109838, Miami, Florida) was censured and fined $25,000. Without admitting or denying the findings, the firm consented to the described sanctions and to the entry of findings that an issuer raised […]

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 […]