Securities Broker Viqas Akhtar Involved In National Securities Corp Client Dispute About Private Placement Suitability The Financial Industry Regulatory Authority (FINRA) reports new disclosures concerning securities broker Viqas Akhtar (CRD#: 5624412, Miami, Florida). Evidently, Akhtar is involved in seven investor disputes alleging sales practice violations such as unsuitable transactions. Six of these disputes concern Akhtar’s […]

Broker Cubby Bice Supposedly Recommended Bad Private Placements Investor Alert! FINRA reports that investors have disputed the sales practices of Sagepoint Financial’s Christopher “Cubby” R. Bice (CRD#: 3222439, Greensboro, North Carolina). Apparently, Bice – who has been with Sagepoint as a securities broker and financial advisor since 2005 – might have sold unsuitable securities to […]

Losses from Jeffrey Dixson? Soreide Law Group is reviewing possible claims of investment related sales practice violations against financial advisor Jeffrey Dixson (CRD#: 4166311, Vancouver, Washington). Namely, the Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Report for Dixson shows that one regulator sanctioned Dixson for selling unlicensed products to clients and misrepresenting annuity applications. Not only […]

GPB Armada Waste Management Losses? Soreide Law Group is reviewing possible claims of unsuitability against brokers who sold investors Armada Waste Management LP. Evidently, alternative asset management company, GPB (New York, New York) issued more than $163,000,000 in Armada Waste Management securities. However, the fund’s approximate value now stands at just over $53,000,000. This 67% […]

INVESTOR ALERT: Customer Dispute About SAGEPOINT’S STEPHEN MATTHEWS Stephen Matthews (CRD#: 1878065, Dublin, Ohio) is a general securities representative of SagePoint Financial, Inc. According to Stephen Matthews’ Financial industry Regulatory Authority (FINRA) BrokerCheck Report, Stephen Matthews, who has been with SagePoint Financial, Inc. since August 16, 2013, is the subject of an investor’s dispute. Here […]

Attention: Soreide Law Group Investigating Unsuitable Sales Of GPB Funds Soreide Law Group is investigating potential claims on behalf of investors who purchased GPB Funds because of their broker’s investment recommendations. GPB Halts Private Placement Due To Financial Challenges Apparently, GPB Capital Holdings, founded in April 2013, is an alternative asset management company based in […]

The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, September, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Daniel Patrick Deighan (CRD #1029361, Registered Principal, Merritt Island, Florida) was fined $27,500 and suspended from association with any FINRA member in any capacity for seven months. Without […]

The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, September, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Daniel Patrick Deighan (CRD #1029361, Registered Principal, Merritt Island, Florida) was fined $27,500 and suspended from association with any FINRA member in any capacity for seven months. Without […]

In an effort to protect investors over the sale of private placements, the new Financial Industry Regulatory Authority (FINRA), Rule 5123, was effective on December 3, 2012. Under the new FINRA Rule 5123, FINRA member firms that sell an issuer’s securities in a private placement will be required, subject to certain exemptions (which include private […]