Oregon Financial Planner Barred by FINRA
A financial planner from Eugene, Oregon, James Scott McKee, was barred from the industry after he failed to comply with [...]
Attorney Lars Soreide of Soreide Law Group files FINRA actions against Ellen Erenstein formerly registered with Investors Capital for selling Tenant in Common Investments and other High Risk Private Placements
Attorney Lars Soreide, of Soreide Law Group, has filed a FINRA arbitration against Ellen Erenstein, and Investors Capital, for the [...]
Not Just the Rich and Famous Fall Prey to Investment Fraud
It's not just the rich or famous anymore. Many scam artists prey on people from all ages and walks of [...]
Protecting the Elderly from Financial Fraud
In a recent MoneyWatch article, Steve Vernon writes that investment fraud and financial abuse targeting the elderly is a major [...]
Lars Soreide, of Soreide Law Group, Wins $158,000 Award for Clients from Harvest Capital, LLC, for the Sale of Fictitious Notes from their Former Registered Representative, Gregg Rennie
FINRA Case Number 11-01278, awards $158,250.00 to the defrauded Claimants for the alleged supervisory failures of Harvest Capital, LLC, of [...]
Boynton Beach Broker Barred by FINRA for “Borrowing” Money from Elderly Client
Stephen Nietsch (CRD #3111082, Registered Representative, Boynton Beach, Florida) was barred from association with any FINRA member in any capacity [...]
Litigating Financial Exploitation and Financial Elder Abuse in the State of Florida
Florida has determined to fight abuse and exploitation by enacting a specific civil cause of action for exploitation, but the [...]
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 [...]
FINRA Awards 3xs Damages to “Elderly” Client in Florida
Raymond James, FINRA ID # 11-03503 (Bradenton, FL, 8/21/2012) A split FINRA arbitration panel awarded $985,700, including triple damages, to [...]
SIMPLE INVESTMENT TIPS
Soreide Law Group would like to list some simple tips for investors. It is heartbreaking to hear some of the [...]
Article Quotes Securities Attorney Lars Soreide
The following is an article from the Reno Gazette-Journal, from Sept. 4th., 2012, written by Jaclyn O'Malley: Former Reno financial [...]
Did You Invest in Thompson National Properties (TNP) 12 Percent Notes Program?
The Soreide Law Group, PLLC, is currently investigating claims by investors of the Thompson National Properties 12 Percent Notes Program [...]
Deerfield Beach, FL, Rep Fined and Suspended by FINRA
Andrew James Aragona (CRD #1320844, Registered Representative, Deerfield Beach,Florida) was fined $138,500 and suspended from association with any FINRA member [...]
Thompson National Properties 12 Percent Notes
Soreide Law Group is currently investigating 'TNP 12 Percent Notes Program LLC' issued by Thompson National Properties, LLC. Recently the [...]
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 [...]
FINRA Fines Brookstone Securities Inc Over Sale of CMOs
In May, a FINRA arbitration panel fined Brookstone Securities Inc., $1 million over the sale of risky CMOs (collateralized mortgage obligations) [...]
Did You Invest With M & I Financial and Tim Cerny in First Trust Income Allocation UIT?
Soreide Law Group, PLLC, is currently investigating Tim Cerny and M & I Financial Advisors. Tim Cerny recently entered into a Letter [...]
BEFORE IT COMES TO THIS–TRY A FINRA ARBIRTRATION!
A group of retirees ambushed financial advisor James Amburn, 56, outside his home in Speyer, Germany. The group attacked him and put him into the [...]
Did You Experience Investment Losses with Cawley Multifamily Fund I, LP?
Attention Cawley Multifamily Fund I, LP Investors: You may be able to recover your investment losses in Cawley Fund by [...]
The Florida Securities Investor Protection Act
FLORIDA INVESTORS, KNOW YOUR RIGHTS! Do you know that all Florida investors have the right to bring claims against their [...]