The following information appeared on FINRA’s website’s ‘Disciplinary Actions, August, 2013.” Joseph Anthony Carpenter Jr. (CRD #4998111, Registered Representative, Palm Harbor, Florida) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Carpenter consented to the described sanction and to the entry of findings that a customer gave […]

The following information appeared on FINRA’s website’s ‘Disciplinary Actions, August, 2013.” Joseph Anthony Carpenter Jr. (CRD #4998111, Registered Representative, Palm Harbor, Florida) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Carpenter consented to the described sanction and to the entry of findings that a customer gave […]

BLAKE BANCROFT RICHARDS (CRD #4051402) Blake Richards of Buford, Georgia, was charged by the Securities and Exchange Commission (SEC) with violations of the federal securities laws for misappropriating investor funds. In May, the SEC filed an emergency action seeking a temporary restraining order and other emergency relief in federal court against Richards. The SEC’s complaint […]

Soreide Law Group, PLLC, is committed to helping victims recover investment losses due to fraudulent or negligent conduct on behalf of their broker or financial advisors. We are able to represent investors nationwide in the handling of their securities arbitration claims. Our practice focuses on recovering investment losses due to stockbroker negligence or securities fraud. […]

Unfortunately, the investors in the large Chinese Internet companies, especially in the past two years, have lost a major part of their investments. Baidu (BIDU), is down 40 percent, Sina (SINA) down 60 percent, and Renren (RENN) down 85 percent. The once popular investments are now finding a huge decline. The decline can be attributed […]

The Financial Industry Regulatory Authority (FINRA), and the SEC’s Office of Investor Education and Advocacy,have issued a new Investor Alert called Year-End Investment Considerations for Individual Investors. This new alert provides individual investors with a few suggestions for year-end investment planning as the year draws to a close. “The end of the year is a […]

The following information is from FINRA’s website under, “Disciplinary and Other FINRA Actions, May, 2012.” Harrison A. Hatzis (CRD #2640978, Registered Principal, Hallandale, Florida)   was fined $30,000 and suspended from association with any FINRA member in any capacity for two years.   The NAC imposed the sanctions following appeal of an Office of Hearing […]