Soreide Law Group, (888) 760-6552, obtained the following summation of information from FINRA’s website under “Disciplinary and Other FINRA Actions, May, 2014.” SunGard Brokerage & Securities Services LLC (CRD #104162, Geneva, Illinois) was censured and fined $15,000 by FINRA. According to the FINRA report, SunGard allegedly failed to establish, maintain, and also enforce their written […]

Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, July, 2013.” Timothy Ruben Ward (CRD #2600718, Registered Representative, Dexter, Missouri) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Ward consented to the […]

Soreide Law Group is currently investigating Alpine Total Dynamic Dividend Fund (AOD). There were nearly 220 million shares sold to the public with a Closed-End Fund trading 31.45% above its Net Asset Value. It may soon be no longer one of the more favored of the Alpine funds. Alpine has recently disclosed that they have […]