The Securities and Exchange Commission (SEC) charged three New York-based brokers with making unsuitable recommendations that resulted in substantial losses to their clients and large commissions for the brokers, in September of 2017. An SEC examination of the firm Alexander Capital L.P. detected alleged misconduct among some brokers, and the investigation led to the filing […]

Soreide Law Group has filed a FINRA arbitration on behalf of their client (“Claimant”) against FIRST STANDARD FINANCIAL COMPANY, LLC, (“FIRST STANDARD”) and their registered representative, WILLIAM C GENNITY (“GENNITY”) CRD# 4913490. The Claimant, a married, father of four, is in his mid-forties and from Utah. The lawsuit states that the Claimant has minimal experience […]