Soreide Law Group Investigating Wells Fargo Advisors Brokers WILLIAM SWETT, ROY LE BLANC, KEVIN LYNAR Soreide Law Group is investigating claims on behalf of those who invested with brokers of Wells Fargo Clearing Services, LLC (CRD#: 19616, St. Louis, Missouri), also known as Wells Fargo Advisors.  Specifically, the Financial Industry Regulatory Authority (“FINRA”) reports that […]

Did your broker/financial advisor sell you an investment in Diversified Lending Group, Inc., and Applied Equities, Inc? The SEC alleges that DLG and AEI raised at least $216 million from hundreds of investors nationwide, many of whom are senior citizens, by promising guaranteed high returns through real estate-related investments. The complaint alleges that the directors […]

The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, February, 2013.” Neftali Mercedes (CRD #3201827, Registered Principal, New York, New York) was barred from association with any FINRA member in any capacity and ordered to pay a total of $97,500, plus interest, in restitution to customers. FINRA's sanctions were based on […]