Latest Securities Lawyer News

Our experts keeping you up to date with our ever changing industry

Read the latest in Security Lawyer news and information

We're here to help victims of broker fraud
September 15, 2021
Horizon Private Equity III LLC Losses?

Horizon Private Equity III LLC Losses? Soreide Law Group is reviewing whether to bring lawsuits on behalf of those who invested in Horizon Private Equity III LLC, operated by John Justin Woods (CRD#: 1949233, Atlanta, Georgia). Notably, John Woods, who worked as an Oppenheimer Co. Inc. securities broker and financial advisor (January 2003 to December […]

August 29, 2021
Parking REIT Losses?

Soreide Law Group Reviewing Possible Investor Claims Relating To Parking REIT Soreide Law Group is investigating possible investor claims against financial advisors and securities brokers relating to their recommendations and sales of investments in Parking REIT. Notably, SEC filed a lawsuit against an executive of Parking REIT, Michael Shustek, who owns Vestin Mortgage LLC. Coupled […]

July 14, 2021
Kerri Wasserman Barred, Involved in PAA Investor Dispute

Portfolio Advisors Alliance Client Files Dispute About Barred Broker Kerri Wasserman Soreide Law Group provides you with the following update regarding securities broker Kerri Lynn Wasserman-Nir (CRD#: 2376090, New York, NY). Evidently, United States Securities Exchange Commission barred Wasserman in financial advisor and securities broker capacities in January 2020. This comes after the regulator alleged […]

July 8, 2021
Samuel Lek Faces Dispute Following FINRA, SEC Bars

Lek Securities Corporation's Sam Lek Involved In Investor Dispute The Financial Industry Regulatory Authority (“FINRA”) reports a new investor dispute regarding securities broker Samuel Frederik Lek (CRD#: 1642936, New York, New York). It appears that two investor disputes have been filed against the securities broker since March 2019. Not only that, but securities regulators have […]

July 7, 2021
Barry Eisenberg Barred As Supervisor By SEC

Alexander Capital's Barry Eisenberg Sanctioned By SEC, Involved In Disputes Alleging Failure To Supervise Investors have come forward to dispute the sales practices of securities broker Barry Todd Eisenberg (CRD#: 2313107, New York, New York). Specifically, FINRA shows that two investors – clients of JP Turner and Alexander Capital – filed disputes. Secondly, United States […]

April 19, 2021
John LoPinto Facing Worden Capital Investor Disputes

Worden Capital Investors File Disputes About Securities Broker John LoPinto It appears that investors have come forward in dispute of securities broker John Michael LoPinto (CRD#: 4563735, New York, New York). In total, Financial Industry Regulatory Authority (“FINRA”) reveals that four investors took aim at LoPinto alleging sales practices violations. SEC also sanctioned him. Here’s […]

April 16, 2021
Lodging Fund REIT III Losses?

Securities Regulator Reportedly Investigating Lodging Fund REIT III Over Reimbursement Policy The Securities and Exchange Commission (“SEC”) has reportedly opened an investigation into Lodging Fund REIT III Inc. Critically, this investigation might have an adverse effect on the value of your Lodging Fund REIT III holdings. Here’s more about Lodging Fund REIT and the investigation. […]

January 7, 2021
Ed Matthes Agrees To Plead Guilty To Wire Fraud

Broker Ed Matthes Reportedly Pleads Guilty To Wire Fraud The investment loss recovery team at Soreide Law Group brings you this Investor Alert in regard to barred securities broker Edward “Ed” Earl Matthes (CRD#: 2788055, Oconomowoc, Wisconsin). Evidently, Matthes worked for securities firms including Thrivent Investment Management and Mutual of Omaha Investor Services. Notably, Matthes […]

January 3, 2021
Kevin Graetz Charged In SEC Lawsuit

Securities Broker Kevin Graetz Allegedly Sold Scam Belize Fund Investment Investor Alert! The Securities and Exchange Commission (“SEC”) announced charges against barred broker Kevin Richard Graetz (CRD#: 1935982, New York, New York) for his role in purportedly selling sham Belize Infrastructure Fund I promissory notes. Additionally, the Financial Industry Regulatory Authority (“FINRA”) shows that 9 […]

Contact us Nationwide USA
2401 E. Atlantic Blvd., Suite 305, Pompano Beach, FL 33062
Helping clients recover money across the USA
search
Copyright © 2022 Soreide Law Group, PLLC  |  All Rights Reserved