Alison Janke, Port Richey, FL, Fined and Suspended by FINRA
The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2013.” Alison Marie Janke (CRD #4409155, [...]
Did You Invest in UBS Willow Fund?
Soreide Law Group is currently investigation the UBS Willow Fund. This distressed debt hedge fund was formed in 2000. In [...]
Harrisburg, PA, Rep Barred by FINRA
The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2013.” David Scott Isolano (CRD #2504880, [...]
Miami Rep Barred by FINRA
The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2013.” John Boyd Dexter (CRD #1354376, [...]
Did You Invest With Beverly Hills Broker Bambi Holzer?
Soeide Law Group is currently investigating broker, Bambi I. Holzer, CRD #1088028. Ms. Holzer is currently a registered representative with [...]
Did You Invest in Behringer Harvard REIT I?
Soreide Law Group, PLLC, is conducting an investigation into Behringer Harvard REIT I. Earlier this year, Behringer Harvard REIT I [...]
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 [...]
UBS Willow Fund, LLC
Soreide Law Group is currently investigating potential claims for clients who lost money in UBS Willow Fund, LLC. The UBS [...]
Did You Lose Your Investment In LaeRoc Funds Private Placements?
LaeRoc Funds are real estate 'private placements' sold by various broker/dealers. LaeRoc Funds, a real estate investment firm, manages over [...]
JP Turner & Co, Atlanta, Charged with ‘Churning’ Customers’ Accounts Over $2.7million
The Securities and Exchange Commission alleged three former brokers at JP Turner & Co. in Atlanta, traded excessively in accounts [...]
Largest Non-Traded REITs Dropping in Value
Recently, InvestmentNews.com did an analysis of eight of the largest nontraded real estate investment trusts (REITs). They found that these [...]
North Palm Beach, FL, Rep Barred by FINRA
William Thomas Johnson Jr. (CRD #1189117, Registered Representative, North Palm Beach, Florida) was barred from association with any FINRA member [...]
Did you Invest in ICON Income Fund X or ATEL Capital Equipment Fund X?
ICON Income Fund Ten, LLC, is in the process of liquidation, states Businessweek in a recent article. ICON engages in [...]
FINRA Awards $1.9 Million in Churning Case
JHS Capital Advisors Inc. and a former broker, Enver R. Alijaj, were fined $1.9 million in a Finra arbitration last week stemming [...]
Sean K. Hannon, North Carolina Rep Barred by FINRA
Sean K. Hannon (CRD #4296260, Registered Representative, Cary, North Carolina) has submitted an Offer of Settlement in which [...]
Joel Carlson, Vadnais Heights, MN, Barred by FINRA
Joel William Carlson (CRD #2844760, Registered Representative, Vadnais Heights, Minnesota) was barred from association with any FINRA member in any [...]
Did You Invest in AEND?
Soreide Law Group is currently investigating claims relating to the sale of stock and debentures in Havoc Energy Drink. HAVOC is [...]
Brent Robert Bishop, Tulsa, Barred by FINRA
Brent Robert Bishop (CRD #2348912, Registered Principal, Tulsa, Oklahoma) has been barred from association with any FINRA member in any [...]
$40 million Accomodations Fund for Facebook (FB) IPO Approved by NASDQ
It was announced this week that the boards of NASDAQ OMX Group and The NASDAQ Stock Market are seeking a review by [...]
Facebook and Banks Sued
As of today, Facebook (FB) shares have fallen roughly 18.4 percent from their $38 IPO price, within the first three days of trading, [...]