Soreide Law Group obtained the following information, available to the public on FINRA’s website, from the October 2017 Disciplinary Reports: SHELLEY STEUER FREEMAN (Also known as: SHELLEY STENER FREEMAN,SHELLEY STEVER FREEMAN) CRD#: 1262649, Fort Lauderdale, Florida) was barred by FINRA for allegedly failing to provide FINRA with requested documents and information. (FINRA Case #2017053680101) FINRA […]

JAIME R RODRIGUEZ CRD#: (5128530), a former HSBC broker in New York was barred by FINRA for allegedly converting $200,000 of a legally blind and elderly client so he could purchase two apartments in his own name. According to the FINRA report, JAIME R RODRIGUEZ, was also a branch relationship banker for HSBC in New […]

Soreide Law Group, based in Florida, obtained the following information from FINRA’s website, which is available to the public, dated 8-18-17:  WILLIAM H MERRIAM IV (aka: WILL MERRIAM IV, WILLIAM H MERRIAM) CRD#: 5222110 The former Merrill Lynch broker, has been barred by FINRA for allegedly failing to appear for FINRA on-the-record testimony looking into […]

Soreide Law Group obtained the following information, which is available to the public, on FINRA’s website under, “Disciplinary and Other FINRA Actions, August 2017.”  Toby McGrath (CRD #5437369, Woodbury, Connecticut) (aka: TOBY HINKLE, TOBY HINKLE MCGRATH)  was barred from association with any FINRA member in all capacities for allegedly converting over $1,600 of her member […]

JAMES ROBERT SCHAEDLER JR. CRD#: 4264512 (James Schaedler) has been barred from acting as a broker or otherwise associating with firms that sell securities to the public by the Financial Industry Regulatory Authority (FINRA). According to FINRA’s report on Schaedler’s BrokerCheck, which is available to the public, without admitting or denying the findings, James Schaedler […]

The Financial Industry Regulatory Authority Inc. (FINRA) has barred ANTHONY JOSEPH VERZI (TONY VERZI) CRD#: 1186572  from acting as a broker or otherwise associating with firms that sell securities to the public. Tony Verzi was a former Morgan Stanley broker who was barred after he allegedly refused to testify at a hearing into alleged trading […]

Soreide Law Group obtained the following from FINRA’s June 2017 Disciplinary Report:  Bernard G. McGee (CRD #1203327, Cazenovia, New York) was barred by FINRA and ordered to pay $237,643.25, plus interest, in restitution to a client. The SEC sustained FINRA’s findings and sanctions following McGee’s appeal of the NAC decision. These sanctions were based on […]

Soreide Law Group is investigating, on behalf of clients, former Next Financial broker, EDUARDO GUILLERMO DIAZ also known as EDWARD DIAZ (CRD#: 1621873) On March 22, 2016, Diaz pled guilty to one count of mail fraud before the United States District Court for the Southern District of Mississippi in United States. On June 22, 2016, […]

BARKLEY JW LUNDY JR, (CRD#: 2260127) also known as MIKE LUNDY, a 68 year-old investment advisor from Rapid City, South Dakota, was convicted of wire fraud and making and subscribing a false tax return.  Lundy was charged on February 7, pleaded guilty February 14, and was sentenced on May 19, 2017 to 5 years in […]