Soreide Law Group obtained the following information from FINRA’s Disciplinary Actions January 2017: Stuart Graham Dickinson (CRD #1047824, Highland Park, Texas) was barred by FINRA and required to pay $924,000, plus interest, in restitution to clients for allegedly selling securities without reasonable grounds for believing that the investment was suitable for any investor. FINRA’s findings […]

Soreide Law Group (888-760-6552) obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions December, 2016.” Gregory Russel Bauer (GREGORY BAUER) (CRD #2552478, Saxonburg, Pennsylvania) was barred by FINRA for allegedly forging his member firm clients’ signatures, which caused the unauthorized sale of securities, intercepted checks in the mail, deposited the checks […]

The Soreide Law Group (888-760-6552) obtained the following information on FINRA’s website under, Disciplinary and Other FINRA Actions December 2016.” Kenley Brisard (CRD #2641960, Weston, Florida) FINRA Case #2010022046101 Philip Brisard (CRD # 2646923, Wellington, Florida) FINRA Case #2010022046101 Were both barred by FINRA for allegedly selling an unregistered security that consisted of interest-only strips […]

CHARLES CALEB FACKRELL (CRD#: 5369665) 36 years-old, from Booneville, N.C., plead guilty in April to one count of fraud for operating a $1.4 million Ponzi scheme, was sentenced December 6, 2016, to 63 months in prison.  Fackrell faces three years of court supervision after his release from prison. He is required to pay $819,919 in […]

Soreide Law Group, based in South Florida, recently obtained the following information from FINRA’s website listed under, “Disciplinary and Other FINRA Actions, November, 2016.” DOUGLAS W. STUDER (CRD# 4440047 Ft. Lauderdale, Florida) Alternate Names: DOUG STUDER was recently barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Douglas […]

Soreide Law Group has been investigating claims by clients regarding the former Morgan Stanley broker; STEVEN M. WYATT (CRD# 2522129) Alternate Names: STEVE MARK WYATT During Wyatt’s five years with MORGAN STANLEY SMITH BARNEY of RIDGELAND, MS, his supervisors noted his problematic behavior and business patterns many times but failed to step in, according to […]

Soreide Law Group obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions, October 2016.” Caldwell International Securities Corporation (CRD #104323, Nassau, Bahamas), Greg Allen Caldwell (CRD #2816295, Austin, Texas) and Paul Joseph Jacobs (CRD #4658235, Austin, Texas) The firm was censured, fined $1,000,000, and required to pay $1,026,089.48 in restitution to […]

Former financial advisor, JOHN V. HEATH (CRD# 2331052), 45 years-old, from Edina, Minnesota, pleaded guilty this week to identity theft.  Heath admitted to cheating an elderly man out of more than $200,000. He agreed to a 41-month sentence, and will serve the first two-thirds in prison and the remainder on supervised release. According to the […]

The Florida-based, Soreide Law Group, obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions, September 2016.” ELLIOT HARRIS (CRD# 2496586), Delray Beach, Florida) was barred by FINRA for allegedly failing to provide FINRA with requested documents and information during the course of FINRA's investigation into allegations that he recommended unsuitable trades […]