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 […]

LPL Broker James Booth Defrauds, Steals From Clients Soreide Law Group provides this latest update surrounding a problem securities broker by the name of James Thomas Booth (CRD#: 1906145, Norwalk, Connecticut). Notably, Financial Industry Regulatory Authority (“FINRA”) reports that 36 investors – including LPL Financial and Investment Financial Corporation clients – brought lawsuits or complaints […]

Cetera's Ken Balser Allegedly Sells Bad Tesoro Del Alma Investments The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of misconduct by securities broker Ken Balser (CRD#: 704053, Colorado Springs, Colorado). The former Cetera Advisors securities broker, who the firm disaffiliated with for private securities transactions, has been involved in four disputes and a pair […]

CUSO Broker JT Coyne Possibly Sold Misrepresented Annuities To Clients Soreide Law Group is reviewing investor claims against CUSO Financial Services securities broker Gerald Thomas “JT” Coyne (CRD#: 4589061, Harrisburg, Pennsylvania). Namely, the Financial Industry Regulatory Authority (“FINRA”) barred Coyne as a securities broker on December 10, 2019. It appears that Coyne stonewalled the financial […]