SCOTT NEWSHOLME (CRD#: 3062837), a 43 year-old Farmingdale, New Jersey former broker, pleaded guilty on April 12, 2018 in federal court to wire fraud, aggravated identity theft and preparing fraudulent tax returns.  According to the US Attorney’s office, this pertains to a long-running scheme to defraud investment clients out of millions of dollars, forging an […]

Soreide Law Group, based in Florida, obtained the following information on the following Florida broker from FINRA’s website under, “Disciplinary and Other FINRA Actions March 2018:”  Kevin Scott Woolf (CRD #6145312, Winter Haven, Florida) was barred by FINRA for allegedly failing to provide documents and information and to appear and provide FINRA on-the-record testimony during […]

The following information was obtained from FINRA’s February 2018 Disciplinary Report by Soreide Law Group:  Jed Edward Tinder (CRD #1013144, Oshkosh, Wisconsin)  was barred by FINRA for allegedly refusing to provide information and documents requested by FINRA during the course of an ongoing examination into whether he conducted outside business activities, participated in private securities […]

Soreide Law Group, based in South Florida, obtained the following information from the February, 2018, Disciplinary Report from FINRA: Jermaine Doral Joseph (CRD #6056737, Miami Gardens, Florida) was barred by FINRA for allegedly serving as a personal representative in two wills executed by a client, and served as a representative payee for a non-client with […]

Soreide Law Group obtained the following information from FINRA’s January 2018 Disciplinary Report:  Success Trade Securities, Inc. (CRD® #46027, Washington, DC) and Fuad Ahmed (CRD #2404244, Washington, DC) A Securities and Exchange Commission (SEC) decision became final in which Success Trade Securities was expelled from FINRA® membership and Fuad Ahmed was barred from association with […]

Soreide Law Group obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions January 2018.” Masood Husain Azad (CRD #4798445, Houston, Texas) was barred by FINRA for allegedly failing to provide FINRA-requested documents and information in connection with its investigation into allegations of misconduct by him while associated with his former member […]

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 […]