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 […]

Soreide Law Group is currently investigating, on behalf of our clients, NEXT FINANCIAL GROUP, INC. based in Houston, TX, and their former registered representative in Frisco, TX, TYE CALVIN WILLIAMS CRD#: 1271046. FINRA has barred Tye Williams from acting as a broker or otherwise associating with firms that sell securities to the public. In September […]

Former Merrill Lynch financial advisor, JESSE JOSEPH HOLOVACKO (CRD#: 5112298), 39 years-old from Sayreville, New Jersey, was convicted of defrauding his client out of his retirement savings and using the funds for his own benefit. Holovacko was convicted of six counts of wire fraud and one count of investment advisor fraud. The Financial Industry Regulatory […]

RONALD DALE BROADSTONE CRD#: 1043159, a former broker with UBS Financial of New Albany, Ohio, has been barred by FINRA from acting as a broker or otherwise associating with firms that sell securities to the public. According to the Financial Industry Regulatory Authority Inc (FINRA) report, allegedly Broadstone refused to respond to FINRA's questions during […]