Securitieslawyer.com

Former John Thomas Financial (JTF) Employees Move On To Other

WEBMany of the brokers from John Thomas Financial Inc. (JTF), the New York boiler room that closed after regulators accused the founder Anatasios “Tommy” Belesis of fraud, have found new employers in New York’s financial district writes Zeke Faux in a recent Bloomberg article. The two brothers of John Thomas founder, Tommy Belesis, …

Actived: 4 days ago

URL: https://www.securitieslawyer.com/former-john-thomas-financial-jtf-employees-move-on-to-other-brokerages-including-two-brothers-of-tommy-belesis/

FINRA Charges Tommy Belesis With Fraud, Intimidation, Trading …

WEBSoreide Law Group, PLLC, a Securities Arbitration Law Firm, phone (888) 760-6552, has posted several articles on our blog regarding Anastasios "Tommy" …

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Principal Broker Barred from Supervisory Capacity for Failing to

WEBFINRA lists the following on their website under “Disciplinary and Other FINRA Actions, October, 2013.” Robert Noonan Drake (CRD #1213804, Registered Principal, Lakeville, Connecticut) was fined $5,000 and barred from association with any FINRA member in any principal or supervisory capacity. The National Adjudicatory …

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New York Brokerage and Co-Owners Charged with Fraud

WEBThe Securities and Exchange Commission (SEC) announced that it has charged the co-owners of Manhattan-based brokerage firm, Arjent LLC, and its UK …

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Avenir Financial Group Ordered to Cease and Desist Due to …

WEBThe Financial Industry Regulatory Authority (FINRA) announced that Avenir Financial Group, a New York-based broker-dealer, its CEO Michael Clements, and …

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American Healthcare REIT IPO Could Be a Risky Bet

WEBThe recent launch of American Healthcare REIT's (AHR) initial public offering (IPO) has generated excitement in the investment community. The company is seeking up to $840 …

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Massachusetts Broker Barred by FINRA for Profiting From …

WEBPaul J. Dumouchel of Wellesley, Massachusetts, was accused of convincing an 82-year-old woman with Alzheimer’s to withdraw more than $1 million from bank CD …

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"Regional Healthcare Properties Preferred Stock" Losses

WEBDid you buy "Regional Healthcare Properties Preferred Stock" from Stephen Brandon Anderson of North Carolina?Soreide Law Group, and their co-counsel Kyros …

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Alert Health Care Workers Can Help Protect Seniors from Financial …

WEBIn an effort to protect senior citizens from money swindles, financial regulators have released a new guide for teaching seniors how to detect financial scams …

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Securities Lawyers

WEBTraditional Broker (You received advice) Millions of Dollars of Securities Fraud Claims were brought before the Financial Industry Regulatory Authority (FINRA). 9 out of 10 …

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NY Rep Barred by FINRA for Failure to Provide Testimony in an

WEBThe Soreide Law Group, (888) 760-6552, has obtained the following summation of information from FINRA’s website listed under “Disciplinary and Other …

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NorthStar Healthcare REIT Investor Losses

WEBHave you experienced losses by investing in NorthStar Healthcare Income Fund because of your financial advisor or securities broker? If so, contact Soreide Law …

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Colorado Bankers Life Insurance Annuity Loss

WEBColorado Bankers Life Insurance Company, Bankers Life Insurance Company, Southland National Insurance Corporation, and Southland National …

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Former Wedbush Securities Connecticut Broker Fined and …

WEBDouglas Walter Campbell Jr. (CRD #2462754, New Canaan, Connecticut) was fined $5,000 and it was deferred, and suspended by FINRA for 20 business days …

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MATT BUCHSBAUM Options Strategy Losses

WEBUBS Clients Take Issue With Matt Buchsbaum's Options Overlay Strategy Recommendation. Soreide Law Group is reviewing possible investor claims against …

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Matthew Steinberg & Oppenheimer

WEBSoreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against:. OPPENHEIMER & CO., INC. (Respondent) The Claimant is retired …

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Bernstein’s Options Advantage Strategy Losses

WEBFor a free consultation with a securities lawyer call 1-888-760-6552 or fill out the contact us request on the contact page. Investors might have sustained losses due …

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John V. Heath Pleads Guilty to Theft From Elderly Client with …

WEBFormer financial advisor, JOHN V. HEATH (CRD# 2331052), 45 years-old, from Edina, Minnesota, pleaded guilty this week to identity theft. Heath admitted to …

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Stephen Coma In Investor Dispute

WEBHave you suffered damages because of securities broker Stephen Coma? If so, contact Soreide Law Group at (888) 760-6552 and speak with a securities lawyer …

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Connecticut Broker Fined and Suspended by FINRA for Not …

WEBSoreide Law Group, PLLC, (888) 760-6552, has obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, …

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Reps Fined and Suspended by FINRA

WEBSecurities Lawyer, Lars K. Soreide, of Soreide Law Group, represents clients nationwide before FINRA. If you or a loved one have sustained investment losses …

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EMERSON EQUITY & TONY BAROUTI Lawsuit

WEBSoreide Law Group has filed a FINRA arbitration on behalf of their client (Claimant) against:. EMERSON EQUITY, LLC, and their registered representative,. …

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