JAMES TRAVIS FLYNN (JIM FLYNN) CRD#: 3082615 was barred by FINRA from acting as a broker or otherwise associating with a broker-dealer firm from September 4, 2018.   Allegedly, Flynn failed to request termination of his suspension within three months of the date of the Notice of Suspension; therefore, he was automatically barred from association with […]

Soreide Law Group is currently investigating claims on behalf of our clients against: CETERA INVESTMENT SERVICES LLC, and their registered representative, CHANG JEN VUNG (CRD#: 5347816)  The investors have sustained significant losses allegedly through the purchase of AFIN and/or CLNC from CETERA INVESTMENT SERVICES’ broker, CHANG JEN VUNG. Colony Credit Real Estate Inc. (CLNC) is […]

Title goes here Soreide Law Group is investigating possible claims on behalf of investors against brokers who sold them Washington Prime Group (NYSE: WPG). WPG, created in May 2014, describes itself as a retail real estate investment trust (REIT) and leader in owning, managing , acquiring and developing retail properties. Apparently, WPG couples an investment […]

Soreide Law Group has been contacted by investors who allegedly suffered losses after purchasing AFIN, REITs, and other illiquid investments through broker: BRITTNEY JADE SIAS (Also known as: ROSALIE P SIAS, BRITTNEY SIAS) CRD#: 4274432   At the time the alleged losses took place, Sias was with WESTERN INTERNATIONAL SECURITIES, INC. of WESTLAKE VILLAGE, CA. […]

AFinancial Industry Regulatory Authority (FINRA) panel of arbitrators has ordered Trustmont Financial Group Inc. to pay one of their clients more than $1 million in damages. The client had accused Trustmont of breach of fiduciary duty, fraud and negligence relating to two 1035 annuity exchanges and a private real estate investment trusts (REITs). The client […]

Soreide Law Group has filed a FINRA arbitration on behalf of their clients (Claimants) against:  AMERITAS INVESTMENT CORP. (Respondent)  The Claimants are a retired, married couple who allegedly relied upon AMERITAS INVESTMENT CORP. and its former financial advisor, Michael Arteca. The lawsuit states that Arteca had sold the Claimants an annuity with a guaranteed income benefit. […]

Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against NATIONAL SECURITIES CORPORATION (Respondent). The Claimants, a married couple, have suffered losses due to the alleged mishandling the Claimants’ assets by the Respondent by failing to properly allocate and diversify the Claimants’ investment portfolios by over concentration their holdings into […]

Soreide Law Group is investigating claims on behalf of investors regarding financial advisor, AUSTIN RICHARD DUTTON JR (CRD #2739167), formerly of Newbridge Securities Corporation (based in Boca Raton, Florida).  Allegedly, Austin Dutton Jr.  recommended unsuitable non-traded real estate investment trusts (REITs) to clients. The lawyers representing retired Philadelphia police and firefighters plan to file additional […]

Soreide Law Group obtained the following information from the January, 2018 FINRA Disciplinary Report: Bruce A. Lefavi Securities, Inc. (CRD #10684, Salt Lake City, Utah)  was censured and fined $25,000 for allegedly preparing four retail communications and distributing them to numerous clients containing content that pertained to Real Estate Investment Trusts (REITs) and/or Business Development […]