Did You Invest in Any of These Companies?
Securities Lawyer, Lars Soreide, of Soreide Law Group, is investigating the following investments. If your stock broker/financial advisor recommended the [...]
David L. Rothman Charged with FRAUD on Elderly Clients
On the SEC's (Securities and Exchange Commission) website, it was announced they filed an injunctive action in the United States [...]
Charles Bishop, Jr., Pompano Beach, FL, Fined and Suspended by FINRA for Misappropriation of Funds (aprox. $3mill) from an Elderly Client
The following information was found on FINRA's website's "Disciplinary and Other Actions, November, 2012." Charles Eugene Bishop Jr. (CRD #1621380, [...]
Former Boston Merrill Lynch Financial Advisor Facing Securities Fraud
Jane E. O'Brien, 59, of Needham, MA, is facing securities fraud for allegedly bilking her client out of $240,000. O'Brien [...]
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 [...]
Did You Invest in ETF’s?
Soreide Law Group, PLLC, is currently investigating the marketing and sales of non-traditional exchange traded funds (ETFs) to investors. Many [...]
FINRA Reports on ‘Recommending Unsuitable Transactions to Customers’
FINRA publishes a quarterly review to provide firms with a sampling of recent disciplinary actions involving misconduct by registered representatives. [...]
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 [...]
VelocityShares 2x Long VIX Short Term Exchange Notes
The Securities and Exchange Commission (SEC) is looking into the VelocityShares 2x Long VIX Short Term Exchange Note, managed by [...]
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 [...]
Boston Newspaper Article on Lars Soreide’s Award for Former Gregg Rennie Clients
The following article appeared October 4th., 2012, in The Patriot Ledger, and was written by Steve Adams. "Financial Company on [...]
FINRA Taking Aim at Nontraded REITs
Broker-dealers' falling short in due diligence when selling complex, illiquid products has been a focus of FINRA examinations and fines [...]
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 [...]
Breakthrough Ventures Private Placements
Did your broker/dealer sell you, an unaccredited investor, private placements in Breakthrough Ventures? Soreide Law Group is currently investigating claims [...]
Did You Invest in Club 50, Inc., Private Placements?
Soreide Law Group is currently investigating the sale of shares in Club 50, Inc., through a private placement offering by [...]