Bond Investors Get Warning From FINRA on Duration if Rates Should Rise
Finra warned investors that if the interest rates rise - as most pros expect - bond investors could be slammed [...]
Did You Invest with Former LPL Broker, Alberto Neira?
Securities Lawyer, Lars Soreide of Soreide Law Group, PLLC, recently announced that he is investigating claims against Linsco Private Ledger [...]
Crystallex International Corporation (“CRYXF”)
Crystallex has commenced a proceeding under chapter 15 of the United States Bankruptcy Code in the United States Bankruptcy Court [...]
ATTENTION UBS BOND INVESTORS
Those investors who believed they had constructed a “conservative” portfolio by being heavily invested in bonds could be reclassified as [...]
Tenant-in-Common (TIC)
Tenant in Common (TIC) investments, or 1031 exchanges, are a form of real estate ownership in which multiple investors own [...]
Does Your Stock Broker Owe You Money?
With the stock market crash of 2008-2009 there has been an onslaught of investors filing lawsuits against their stock brokers [...]
Former Broker Charged by SEC with Defrauding Investors in Mortgage Backed Securities (MBS)
The Securities and Exchange Commission (SEC) today, January 29th., 2013, on it's website announced that it has charged a former [...]
FINRA Fines and Suspends Reps
The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2013.” Charles Tuttle Mason aka Chip [...]
FINRA to Focus on BDCs and Leveraged ETFs in 2013
The Financial Industry Regulatory Authority Inc. (FINRA) released its 2013 regulatory and examination priorities letter. The annual letter alerts the [...]
SEC’s Statistics Positive News for Investors
The Securities and Exchange Commission, also known as the 'SEC,' has filed 734 enforcement actions the fiscal year that ended [...]
FINRA Fines Total Over $68 Million in 2012
FINRA, the Financial Industry Regulatory Authority levied a total of $68 million in civil fines during 2012, according to statistics [...]
New FINRA Rule 5123 Regarding the Sale of Private Placements Became Effective December 3, 2012
In an effort to protect investors over the sale of private placements, the new Financial Industry Regulatory Authority (FINRA), Rule [...]
Were You a Former Client of Tracey Crownover?
Soreide Law Group is currently investigating potential claims regarding the sale of variable life insurance policies and certain Real Estate [...]
Top 20 U.S. Exchange Traded Notes, by Market Capitalization
iPath Dow Jones - Issuer- UBS Commodity Index TR Barclays – ticker- DJP US JPMorgan Alerian MLP Index Issuer - [...]
Broker/Dealers Who Sold Variable Annuities with Hedge Funds Scrutinized by FINRA
FINRA, the Financial Industry Regulatory Authority, is investigating independent broker-dealers that sold variable annuities with subaccounts invested in hedge funds [...]
FINRA Awards $1.8 million
Straccia v. Focus Capital, FINRA ID # 11-02737 (Manchester, NH, 11/27/2012) - A FINRA Arbitration Panel awarded $1.8 million in [...]
Did You Invest in Any of These Companies?
Securities Lawyer, Lars Soreide, of Soreide Law Group, is investigating the following investments. If your stock broker/financial advisor recommended the [...]
FINRA Enforcing Annuity Sales Rules
The Financial Industry Regulatory Authority, also known as FINRA, has been enforcing all types of annuity transaction misdeeds nationwide according [...]
Oregon Financial Planner Barred by FINRA
A financial planner from Eugene, Oregon, James Scott McKee, was barred from the industry after he failed to comply with [...]
Did You Invest With Vincenzo (Vince) Covino?
Soreide Law Group, PLLC, has launched an investigation into the suspended Idaho broker, Vincenzo (Vince) Covino. Covino was employed at [...]