Soreide Law Group, PLLC,  is currently investigating the following investments. If your stock broker or financial advisor recommended any of the following investments, and you sustained a significant loss of your investment, call 888-760-6552 for a free consultation.  AgraShares Fund III, LLC Americap Distressed Real Estate Fund I Avere Medical Real Estate Fund I, LP […]

Elevation, LLC (CRD #140341, Charlotte, North Carolina)   submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $10,000.   Without admitting or denying the findings, the firm consented to the described sanctions and to the entry of findings that it commenced an options business, engaged in options transactions […]

Joseph Alphonse Vitale (CRD #5223467, Registered Representative, Boca Raton, Florida)   has been barred from association with any FINRA member in any capacity. The sanction was based on findings that Vitale failed to respond to FINRA requests for information.   (FINRA Case #2009017585202)   This information is from FINRA’s website’s Disciplinary Actions, December, 2011.   […]

Evan Taber (CRD #1892751, Registered Representative, Plantation, Florida)   was barred from association with any FINRA member in any capacity.   This sanction was based on findings that Taber intentionally converted or misappropriated customer funds. These findings stated that Taber discussed with a customer an investment that would yield a 15 percent rate of return […]

Alan Stuart Pattee (CRD #3002976, Registered Representative, Lake Worth, Florida)   has submitted a Letter of Acceptance, Waiver and Consent in which was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Pattee consented to the described sanction and to the entry of findings that he forged homeowner […]

Alan David Goddard Jr. (CRD #3019681, Registered Representative, Boca Raton, Florida)   has submitted a Letter of Acceptance, Waiver and Consent in which he was fined $10,000 and suspended from association with any FINRA member in any capacity for 45 days. This fine must be paid either immediately upon Goddard’s reassociation with a FINRA member […]

In a November 23, 2011, article in FA Magazine, Karen DeMasters writes that LPL Financial has been fined $100,000 for failing to properly oversee one of its brokers in Oregon who sold risky investments to people, many of them elderly and without the mental capacity to make investment decisions. It was reported that the Oregon […]

In a Nov. 11, 2011 article from Bloomberg, we learn that  Birmingham, Alabama, once, the most prominent industrial center in the Southeast has been on a long losing streak that just got longer. Daimler AG opened a Mercedes-Benz factory in Vance, in 1997,one county west of the state’s biggest city. Honda Motor Co. put a plant […]

Soreide Law Group, PLLC, is currently investigating claims on behalf of investors in the following firms regarding stock/securities losses: Laidlaw & Company, with locations throughout the United States and the UK, First Midwest Securities, Inc. (FMSI) established in Wisconsin in 1989, FMSI has since relocated to Bloomington, Illinois, Obsidian Financial Group, with offices in New York and […]