Soreide Law Group obtained the following information from FINRA’s Disciplinary Report January, 2018: HANK MARK WERNER (HENRY WERNER) (CRD#: 1615495 Northport, New York) Has been barred by a FINRA extended hearing panel, for fraudulently churning and excessively trading the accounts of his client—a blind, elderly widow—and for making unsuitable recommendations. The hearing panel also ordered […]

MATTHEW EARL PEREGOY (MATT PEREGOY) CRD#: 2430960   was barred by FINRA on January 16, 2018.  Without admitting or denying the findings, MATTHEW EARL PEREGOY consented to the sanction and to the entry of findings that he did not produce FINRA requested information related to its investigation into potential misuse of funds and failure to […]

On January 5, 2018, FINRA barred LARRY MARTIN BOGGS (LARRY M. BOGGS) CRD#: 1582741) for alleged excessive and unsuitable trading in the accounts of five elderly clients. FINRA stated that Boggs also allegedly exercised improper discretion in the elderly clients’ accounts without written authorization in 2014 and 2015 when employed as a broker at Ameriprise […]

JOHN M JAMES (JOHN JAMES) CRD#: 4609872 has been barred by the Financial Industry Regulatory Authority Inc. (FINRA) for allegedly not appearing at a FINRA hearing regarding activities that included borrowing money from clients. Merrill Lynch filed a Form U5 in 2016 which reported that JOHN M JAMES resigned while he was under internal review […]

The North Dakota Securities Commissioner said that KEVIN DONALD WANNER (KEVIN D WANNER) CRD#: 1402627, of Bismarck, North Dakota, has been accused of bilking 66 investors from North Dakota over 15 years. WANNER has reached a plea agreement in federal court on charges of mail fraud and money laundering. Woodbury Financial Services Inc., of Oakdale, […]

KYUSUN KIM (also known as KYU SUN KIM, and Kenny Kim) CRD#: 2864085, has been barred FINRA from acting as a broker or otherwise associating with a broker-dealer firm on June 26, 2018, for allegedly making unsuitable recommendations to numerous senior clients, who were retiring or had retired, that they concentrate their retirement assets and […]

KENNETH STEWART TYRRELL (KEN TYRRELL) CRD#: 2457452 has been barred by the Financial Industry Regulatory Authority Inc (FINRA) for allegedly participating in eleven undisclosed private securities transactions and engaging in five undisclosed outside business activities. According to FINRA's BrokerCheck, FINRA’s findings stated that KENNETH STEWART TYRRELL participated in private securities transactions totaling more than $13 […]

THOMAS JOSEPH BUCK (Thomas J. Buck) CRD#: 1024868, a former registered representative of Merrill Lynch in Indianapolis, Indiana, was barred from the securities industry and pleaded guilty on October 31, 2017, to overcharging his clients millions of dollars. He agreed to a settlement with the SEC to pay back more than $5 million--$2.6 million in […]

Soreide Law Group, based in Pompano Beach, Florida, obtained the following information from FINRA’s website under “Disciplinary and Other FINRA Actions October, 2017,” which is available to the public, regarding Florida broker:  Paul Vincent Blum (CRD #735003, Jupiter, Florida) Blum was was barred by FINRA for allegedly refusing to appear for FINRA on-the-record testimony during […]