The following information was obtained on FINRA’s website’s ‘Disciplinary Actions, January 2012.”   Joseph James Sciarra Jr. (CRD #1576322, Registered Principal, Wellington, Florida)   was barred from association with any FINRA member in any capacity and ordered to pay $393,935, plus interest, in restitution to a customer’s estate. The sanctions were based on findings that […]

In an article for InvestmentNews.com, on February 1st, 2012, Mark Schoeff Jr. writes that in a market defined by low interest rates, investors are searching for higher returns. But brokers better be careful how they try to deliver those results, according to their primary regulator. In a 16 page letter posted on its website, the Financial Industry […]

The following information was obtained on FINRA's website's 'Disciplinary Actions, January 2012."   Bradley John Delp (CRD #1701698, Registered Representative, Deerfield Beach, Florida)   submitted a Letter of Acceptance, Waiver and Consent in which he was fined $25,000 and suspended from association with any FINRA member in any capacity for two months. The fine must […]

In a February 4th., 2012, article by Andew Osterland in InvestmentNews.com, he writes that it's not an easy conversation to have, but financial advisers need to talk to their clients about Alzheimer's disease and other forms of dementia and the impact it can have on their financial circumstances. “The first conversation is difficult, but after […]

In a January 24th., 2012 article for InvestmentNews.com, Bruce Kelly writes that it's more bad news for Behringer Harvard Holdings LLC, as an investor who saw the value of her real estate fund drop to $2,000, from an original investment of $50,000, has begun to complain to regulators. On January 20th., 2012, D. Gayle Salyer wrote […]

In an InvestementNews.com article from January20,2012, Dan Jamieson writes that in a regulatory notice, Finra outlined characteristics of what it calls “complex products,” which could include structured notes, inverse or leveraged exchange-traded funds, hedge funds and securitized products such as asset-backed securities. Finra stated that brokerage firms should have formal written procedures covering everything from […]

Soreide Law Group, PLLC, is currently investigating the following oil and gas deals: KBS REIT, DBSI, BDA Bradford Drilling, United Development Fund, Leaf Equipment Leasing Fund, Cypress Equipment Fund, Net REIT, REEF Income and Development Fund, and Waveland Drilling Partners. Investors can file arbitration claims, as an option if they have been victimized by these products, if the investments were recommended […]

 Soreide Law Group, PLLC, is currently investigating the following TIC/DST Offerings. 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. TIC/DST Offerings - ArciTerra Strategic Retail - Park Lee Bluerock Mesa Ridge Apartments DST PASSCO - […]

Soreide Law Group is investigating the following oil & gas/alternative energy offering 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.   - Oil & Gas//Alternative Energy Offerings -   Adwar Drilling Fund I, LP […]