CHRISTOPHER DOUGHERTY Barred By SEC
SEC Expels Christopher Dougherty The Securities and Exchange Commission (“SEC”) announced on August 15, 2019 that It indefinitely barred [...]
Investment Losses From LARRY LABINE?
Did Newbridge Broker Larry Labine Cause Your Investment Losses? Soreide Law Group is currently evaluating possible investor claims against [...]
ERNEST ROMER Facing SEC Bar
SEC Contemplating Barring ERNEST ROMER The Securities and Exchange Commissions issued an Order February 22, 2019 commencing administrative proceedings [...]
HECTOR MAY Barred By SEC
SEC Bars Securities America's Hector May Soreide Law Group is evaluating possible claims against Securities America, Inc. general securities [...]
GREGORY DEAN Barred by FINRA
GREGORY DEAN Barred by FINRA On August 15, 2019, the Financial Industry Regulatory Authority (“FINRA”) barred Worden Capital Management [...]
JOEL BURSTEIN Barred By SEC
SEC Bars Raymond James Broker Joel Burstein The Securities and Exchange Commission (“SEC”) announced that it barred Raymond James [...]
PEDRO SEIJO Barred By SEC
PEDRO SEIJO Barred BY SEC The Securities and Exchange Commission (“SEC”) announced it has barred Transamerica securities broker Pedro [...]
DONALD FOWLER Guilty Of Securities Fraud
DONALD FOWLER Liable For Securities Fraud The Securities and Exchange Commission (“SEC”) announced on June 20, 2019 that Donald [...]
GPB Armada Waste Management Losses?
GPB Armada Waste Management Losses? Soreide Law Group is reviewing possible claims of unsuitability against brokers who sold investors [...]
JOHN SCHMIDT Sentenced To Prison For Securities Fraud
JOHN SCHMIDT Sentenced To Prison For Securities Fraud Wells Fargo Advisors securities broker John Schmidt (CRD#: 708094, Dayton, Ohio) [...]
INVESTOR ALERT: SEC Orders Morgan Stanley To Pay $3.6M For Failure To Supervise Barry Connell
SEC Orders Morgan Stanley To Pay $3.6M For Failure To Supervise Barry Connell Barry Franklin Connell (CRD#: 3070984, Ridgewood, [...]
SEC Bars Wedbush Securities Broker Timary Delorme For Fraudulent Trading Scheme
SEC Bars Wedbush Securities Broker Timary Delorme For Fraudulent Trading Scheme The Securities and Exchange Commission (“SEC”) issued an [...]
SEC Charges Westport Capital Markets, Christopher McClure With Fraud
SEC Charges Westport Capital Markets, Christopher McClure With Fraud Westport Capital Markets president and CEO, Christopher Edward McClure (CRD#: [...]
Cadaret Grant Broker Steven Pagartanis Guilty Of Fraud Conspiracy
Cadaret Grant Broker Steven Pagartanis Guilty Of Fraud Conspiracy Former Cadaret, Grant & Co., Inc. registered representative, Steven Pagartanis [...]
Morgan Stanley’s James Polese Dealt Prison Sentence For Fraud
Morgan Stanley’s James Polese Dealt Prison Sentence For Fraud James Polese (CRD#: 2636427, Boston, Massachusetts), who is a prior [...]
Soreide Law Group Investigating Payson Petroleum Fraud Allegations
Soreide Law Group Investigating Payson Petroleum Fraud Allegations Soreide Law Group is investigating claims on behalf of investors who [...]
Royal Alliance Associates’ Kimberly Pine Kitts Defrauded Investors
Royal Alliance Associates’ Kimberly Pine Kitts Defrauded Investors Kimberly Pine Kitts (CRD#: 2768200, Orleans, Massachusetts), who is past Royal [...]
IFS Broker Richard Grant Cody Pleads Guilty To Fraud Charges
IFS Broker Richard Grant Cody Pleads Guilty To Fraud Charges Richard Grant Cody (CRD#: 2794558, Spring Lake, New Jersey), [...]
Western International Broker Dawn Bennett Guilty Of Fraud
Western International Securities Broker Dawn Bennett Guilty Of Fraud Dawn Bennett (CRD#: 1567051, Chevy Chase, Maryland) has been a [...]
Did A Broker Sell You PixarBio Investments?
Did A Broker Sell You PixarBio Corporation Investments? Soreide Law Group is investigating claims on behalf of investors who [...]