Joseph Gunnar Clients File Disputes About Securities Broker Matt Gates The investment loss recovery counsel at Soreide Law Group provide you with the following FINRA BrokerCheck details regarding securities broker Matthew “Matt” Gates (CRD#: 4727945, New York, New York). It appears that Gates worked for securities firm Joseph Gunnar Co. LLC (2009 to 2020) as […]

Numerous DH Hill Clients Allege Bad Advice In Disputes About Charles Stevens The Financial Industry Regulatory Authority (“FINRA”) charged Charles Thomas Stevens (CRD#: 1698058, St. Augustine, Florida) with violating FINRA rules. Not only that, but the securities broker, who worked for DH Hill Securities from 2006 to 2020, is involved in five investor disputes. These […]

Berthel Fisher Clients Indicate That Broker Farrukh Kazmi Sold Bad Alternative Investments The investment loss recovery team at Soreide Law Group provides you with this Investor Alert regarding Farrukh Shazad Kazmi (CRD#: 2855915, Moorestown, New Jersey). Evidently, this securities broker joined Berthel Fisher & Company (“Berthel Fisher”) in January 2010. Notably, FINRA BrokerCheck shows that […]

Soreide Law Group has filed lawsuits representing our clients who invested in the non-traded REIT, Watermark Lodging Trust Inc., recommended for purchase by their broker/dealers or financial advisors and have suffered significant losses. Watermark Lodging Trust Inc. is a publicly registered, non-traded real estate investment trust that invests in, manages, and seeks to enhance the […]

Broker Tom Sharp Allegedly Sells Bad REITs Investor Alert! Soreide Law Group provides you this update with respect to securities broker Thomas “Tom” David Sharp (CRD#: 1623353, Gold River, California). Apparently, some of Sharp’s investors filed complaints or lawsuits about him indicating that he caused their losses. FINRA BrokerCheck shows that these complaints suggest that […]

Breach Of Fiduciary Duty Alleged By Clients Of Barred Broker Greg McKinney Two more investor disputes have surfaced on the FINRA BrokerCheck Report for James Gregory McKinney (CRD#: 2100850, Tulsa, Oklahoma). Notably, FINRA barred McKinney as a stockbroker for failing to testify regarding his alleged sales practice violations. Not only that, but clients have filed […]

An arbitration has been filed with the Financial Industry Regulatory Authority (FINRA) against Money Concepts Capital Corp. This claim was filed by an elderly woman who allegedly lost her investment with the Springfield, Illinois location, and broker Dustin Shafer, who was her broker/advisor at the time.  Shafer allegedly recommended to his elderly client that she […]

Soreide Law Group has been contacted by clients and former clients, mainly from North Carolina, who sustained investment losses due to the alleged illiquid REITs purchased primarily at Kalos Capital of Belmont, North Carolina, through broker:  JOSEPH PATRICK ROOP (JOEPAT ROOP) CRD#: 2774470 According to FINRA’s BrokerCheck, available to the public on FINRA’s website, JOSEPH […]

Soreide Law Group, based in South Florida, has filed a FINRA arbitration on behalf of their client (Claimant) against, LPL FINANCIAL LLC (Respondent).  The Claimant, who resides in Florida, maintained an investment relationship with LPL FINANCIAL and their Financial Advisor, SAMUEL IZAGUIRRE (CRD#: 4835113). The lawsuit alleges that the Claimant advised the Respondent that he […]