Barred Broker Jim Flynn Involved In Investor Disputes Droves of investors are filing disputes about securities broker James “Jim” Flynn (CRD#: 3082615, Greenville, South Carolina). Notably, the securities broker has a whopping 64 disclosures on his record via Financial industry Regulatory Authority (“FINRA”), nearly all of which are investor disputes. The securities broker, who worked […]

FINRA Bars Peter Ianace For Violating FINRA Rules The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to securities broker Peter V. Ianace (CRD#: 3238078, Plano, Texas). Significantly, the financial industry watchdog took away Ianace’s ability to be a securities broker for a FINRA firm, which includes nearly all major securities firms in […]

FINRA Bars Lenny Kinsman For Failing To Testify, Produce Information Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) barred Leonard “Lenny” Kinsman (CRD#: 2816535, Staten Island, New York) from being a securities broker for violating FINRA rules. In addition, Kinsman’s clients brought investment disputes which raise questions about whether Kinsman may have misrepresented information to […]

Soreide Law Group, a Florida-based law firm, obtained the following information on FINRA’s website under, “Disciplinary and Other FINRA Actions, September 2020.” The following former broker was previously registered with Fortune Financial Services, Inc. of St. Petersburg, Florida: Jean Connell Hicks (CRD #1005922, St. Petersburg, Florida). On July 14, 2020, FINRA barred Jean Connell Hicks […]

Securities Broker Martin Noonan Expelled As Broker For Avoiding FINRA Investigators The Financial Industry Regulatory Authority (“FINRA”) barred securities broker Martin Joseph Noonan Jr. (CRD#: 2982159, El Segundo, California) for violating FINRA rules. In addition, the financial industry watchdog reports that an investor complained about the securities broker, who worked for Equibond from 2002 to […]

Expelled Broker Dennis Murphy Allegedly Made Excessive, Unsuitable Trades Soreide Law Group is investigating whether to bring investment related complaints or lawsuits against Monmouth Capital Management securities broker Dennis James Murphy (CRD#: 4840274, Red Bank, New Jersey). Namely, FINRA issued the most severe of sanctions – a bar – to Murphy in May 2020. This […]

Garden State Broker Ronald Richer Barred By FINRA Soreide Law Group is determining whether to bring lawsuits on behalf of investors against securities broker Ronald Richer (CRD#: 2988381, New York, New York). Namely, the Financial Industry Regulatory Authority (“FINRA”) indicates through BrokerCheck that Richer has nine disclosures on his record. These disclosures not only concern […]

Broker David Weisberg Purportedly Churns, Excessively Trades In Worden Capital Client Accounts Soreide Law Group is reviewing whether to bring lawsuits on behalf of investors against securities broker David Weisberg (CRD#: 5610111, New York, New York). Not only has Financial Industry Regulatory Authority (“FINRA”) sanctioned the securities broker for “excessive and unsuitable” trading, but at […]

FINRA Bars America Northcoast's Christopher Barone Soreide Law Group wants you to be aware that securities broker Christopher Richard Barone (CRD#: 2032268, Houston, Texas) – the CEO and COO of America Northcoast Securities – is disqualified from being a FINRA broker effective January 23, 2020. Notably, FINRA barred Barone for misrepresenting his supervision of trade […]