FINRA Bars Broker Dealer Financial Corp’s Norman R. Sicard Jr. Norman R. Sicard Jr. (CRD #2269472, West Des Moines, Iowa), who was a registered representative of Broker Dealer Financial Services Corp. between May 26, 2011 and December 15, 2016, consented to being barred by the Financial Industry Regulatory Authority (“FINRA”) from acting as a broker […]

FINRA Bars Pruco Representative For Converting Customer Funds Vaughn Lee Andrews-McKay (CRD #6491985, Shelton, Connecticut), who was a registered representative of Pruco Securities, LLC between August 25, 2015 and May 1, 2018, consented to being barred by the Financial Industry Regulatory Authority (“FINRA”) from acting as a broker or associating with FINRA member broker-dealer firms […]

FINRA Bars Brian Joseph Panfil Brian Joseph Panfil (CRD #4326407, Chicago, Illinois), who was a registered representative of Caldwell International Securities and Ridgeway & Conger, Inc., is now barred by the Financial Industry Regulatory Authority (“FINRA”) from acting as a broker or associating with FINRA member broker-dealer firms pursuant to a Default Decision issued by a […]

American Finance Trust, Inc. (AFIN) Losses? Soreide Law Group is investigating claims on behalf of investors who purchased American Finance Trust, Inc. (Nasdaq: AFIN) – a real estate investment trust (REIT) sponsored by AR Global with a purported emphasis on the management and acquisition of a service-focused tenant portfolio. AFIN REIT LOSSES? According to a […]

MITCHELL TOBY YANOW (CRD#: 214817), a former STIFEL, NICOLAUS & COMPANY, INC financial advisor from BOCA RATON, FL, was barred by FINRA on July 11, 2018, from acting as a broker or otherwise associating with a broker-dealer firm for allegedly stealing over $205, 000 from an 87 year-old client. Yanow was accused of writing checks […]

KIMBERLY PINE KITTS (CRD#: 2768200), a 51 year-old financial advisor from Massachusetts, was charged with defrauding multiple clients of  over $3 million from the client investment and retirement accounts, according to the SEC complaint filed in federal court. Kitts was formerly with Royal Alliance Associates of Palmer, Massachusetts, which does business as Marquis Consulting, which […]

CORNELIUS PETERSON (CRD#: 5769919) a former MORGAN STANLEY of Boston financial advisor, was sentenced by a federal judge in Boston to 20 months in prison for misusing hundreds of thousands of dollars in clients’ money. Peterson pleaded guilty in February to fraud and conspiracy due to unauthorized investments in a wind farm. According to the […]

Soreide Law Group, based in Florida, obtained the following information from the June 2018 FINRA Disciplinary Report, available to the public on FINRA’s website.  Vincent Santoro (CRD #3006826, Lake Mary, Florida)  was barred by FINRA all capacities for allegedly refusing to appear for a FINRA on-the-record testimony in connection with an investigation into allegations regarding […]

JOHN DOUGLAS WADE (JOHN D WADE) CRD#: 4486552, of Buena Park, California , a former U.S. Bancorp Investments broker, was barred by the Financial Industry Regulatory Authority Inc. (FINRA) from acting as a broker or otherwise associating with a broker-dealer firm following allegations of converting more than $200,000 from clients' accounts for his own personal […]