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 […]

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 […]