Mar 09, 2016
The securities arbitration law firm, Soreide Law Group, filed an arbitration through the Financial Industry Regulatory Authority “FINRA” against Park Avenue Securities and their former broker Elizabeth Ty “Beth TY”.
Mar 07, 2016
Findings show they allowed reps to make unsuitable investments through non-traditional and risky ETF's.
Aug 21, 2015
LPL FINANCIAL LLC of YADKINVILLE, NC has been hit with a FINRA complaint from three clients of former financial advisor,CHARLES C.
Jul 22, 2015
Alejandro Ariel Torres (CRD #5631211, Hollywood, Florida) was barred by FINRA and ordered to pay $59,600 plus interest in a deferred restitution to his client.
Jun 29, 2015
Soreide Law Group has just filed claims on behalf of an investor that has suffered losses due to unauthorized trading and concentrations in gold investments made by former Raymond James broker, SCOTT A. SIBLEY (CRD# 1523981), of Boca Raton, Florida.
Feb 24, 2015
Securities Lawyer, Lars Soreide, has won an award against former LEGEND SECURITIES stock broker, ENVER ALIJAJ, on behalf of his clients in Minnesota.
Feb 10, 2015
Securities Lawyer, Lars Soreide, has filed his third arbitration against Dean Mustaphalli and his employing broker-dealer, Sterne Agee, on behalf of clients in Hollis, New York.
Jul 22, 2014
Matthew A. Bell and Others Now in Trouble with the SEC as complaint is filed in New York.
Jun 03, 2014
In June of 2014, an investor in the Mustaphalli Capital Partners Fund filed an arbitration against Dean Mustaphalli and Sterne Agee Financial Services, Inc.
Mar 26, 2014
If your broker heavily invested you on margin in Puerto Rico bonds you may have a monetary claim against your broker.