The Financial Industry Regulatory Authority Inc, also known as FINRA, has fined two firms, Triad Advisors Inc., $650,000, and Securities America Inc., $625,000. These two independent broker/dealers are owned by Ladenburg Thalmann Financial Services Inc. This $1.275 million fine was imposed on March 12th., 2014, due to failure to supervise the hundreds of brokers who […]

Soreide Law Group, PLLC, is currently investigating the sale of promissory notes to investors by their broker/dealers. Again, many conservative investors have said they were sold these notes as “low risk” when in fact, they were highly risky or fraudulent. These investments also paid significantly higher fees to the brokers, making them much more motivated […]

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 […]