Soreide Law Group is currently investigating potential claims on behalf of investors who have sustained losses attributed to broker and financial advisor, Garrett Wayne Moretz [CRD: 4086791, Mooresville, North Carolina]. Moretz joined Lifemark Securities Corp. on May 31, 2017. His previous associations include First Heartland Consultants Inc., from January 2010 until May 2017, and First […]

Soreide Law Group is currently conducting an investigation on behalf of investors who have suffered losses caused by securities broker Dana Matthew Hawkins (CRD#: 5731136, Lexington, South Carolina). Hawkins, who works with Centaurus Financial Inc. since May 19, 2015, has previously been registered with JP Turner Company, LLC in Lexington, SC from March 14, 2011, […]

Next Financial Group Broker Douglas Simanski Guilty Of Fraud Soreide Law Group is investigating claims on behalf of investors who purchased investments from Douglas Simanski (CRD#: 2606998, Altoona, Pennsylvania), a former Next Financial Group, Inc. registered representative and investment advisor. The United States Attorney’s Office for the Western District of Pennsylvania announced on November 3, […]

In an article, Feb. 7, 2013, in the New York Post, it was reported that (broker-dealer owner), Anastasios “Tommy” Belesis' firm, John Thomas Financial, is being investigated by the FBI, the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority Inc. (FINRA). Mr. Belesis has made many media appearances on cable business/financial shows. […]

The Financial Industry Regulatory Authority Inc., also known as FINRA, is proposing a new rule that would allow investors to access information about a financial advisor’s business and disciplinary history directly from the firm’s web page. FINRA filed a regulatory notice in the Jan. 25 edition of the Federal Register. FINRA said the rule would […]

The Securities and Exchange Commission (SEC) announced that it obtained an emergency court order to halt an alleged Ponzi-like scheme operated by Small Business Capital Corp. and its principal Mark Feathers, who raised $42 million by selling securities issued by Investors Prime Fund LLC and SBC Portfolio Fund LLC - two mortgage investment funds they […]

The Securities and Exchange Commission (SEC) recently announced that it has obtained an emergency court order to freeze the assets of a South Florida man who has been charged with fraudulently offering investments in oil drilling projects in an article posted on the SEC's website. The SEC’s complaint, unsealed in federal court in West Palm […]

FINRA, the Financial Industry Regulatory Authority announced that it has added features to BrokerCheck to help users more easily access broker-dealer and investment adviser information. Many of the changes implemented by FINRA address recommendations made in a January, 2011. study by the Securities and Exchange Commission (SEC) reported FINRA in an article on their website. […]

The Securities and Exchange Commission (SEC) charged Stephen B. Blankenship, of New Fairfield, Connecticut, and Deer Hill Financial Group, LLC, a Connecticut limited liability company under Blankenship’s control, with a scheme to defraud investors. The SEC’s Complaint alleges that, from at least 2002 through November 2011, Blankenship misappropriated at least $600,000 from at least 12 […]