Soreide Law Group obtained the following information on FINRA’s December 2017 Disciplinary Report: LANDON L WILLIAMS (LANDON LAVON WILLIAMS)(CRD #1751467, Daytona Beach, Florida) was assessed a deferred fine of $10,000 and suspended by FINRA due to allegations that during telephone conversations with clients, he misrepresented and omitted material facts, and made misleading statements relating to […]

On November 17, 2017, the Financial Industry Regulatory Authority (FINRA) fined former Morgan Stanley registered representative, TIMOTHY THOMAS GIBBONS (CRD#: 219872), $20,000, suspended him for 18 months, and required him to pay approximately $717,000 in restitution to five elderly clients. Gibbons allegedly over-concentrated the clients' accounts in a single high-risk energy sector security. According to […]

The Florida-based law firm, Soreide Law Group, obtained the following information on FINRA’s website from the October 2017, Disciplinary Report on Florida broker: Gabriel Williams Hynes (CRD #3152541, St. Augustine, Florida) Hynes was assessed a deferred fine of $10,000 and suspended from association with any FINRA member in all capacities for three months for allegedly […]

Soreide Law Group, based in Florida, obtained the following information, available to the public on FINRA’s website, from FNRA’s Disciplinary Actions of September, 2017, regarding Florida broker:  Daniel Joseph Hushek III (CRD #4250117, Bradenton, Florida)   Hushek was assessed a deferred fine of $10,000 and suspended by FINRA for 15 months for allegedly failing to […]

Soreide Law Group, based in Pompano Beach, Florida, obtained the following information from FINRA’s Disciplinary Report, August, 2017, which is available to the public on FINRA’s website:  Larry Charles Wolfe (CRD #502361, Boca Raton, Florida) (also known as:  LARRY C WOLFE, LARRY WOLFE, LARRY CHARLES WOLFINGER, LARRY WOLFINGER) was fined $5,000 and suspended by FINRA […]

Soreide Law Group obtained the following information from FINRA’s August 2017 Disciplinary Report, available to the public on FINRA’s website.  Hilltop Securities Independent Network Inc. (formerly known as: SWS Financial Services, Inc.) (CRD #17587, Dallas, Texas) and Douglas Lee Hodges (CRD 4253217, Celina, Texas) Hilltop Securities was censured, fined $40,000 and required to pay $5,329.75, […]

Soreide Law Group, based in Pompano Beach, Florida, obtained the following information on FINRA’s website’s August 2017 Disciplinary Report on South Florida broker:  Christopher Robert Hickman (CRD #3267599, Boynton Beach, Florida) was assessed a deferred fine of $5,000, suspended from association with any FINRA member in all capacities for five months, and ordered to pay […]

AUSTIN RICHARD DUTTON JR (AUSTIN R DUTTON JR) CRD#: 2739167   a broker from the Philadelphia area, was fined $200,000 by the Pennsylvania Department of Banking and Securities on Monday, July 24, 2017.  They cited alleged "dishonest or unethical practices in the securities business." The Financial Industry Regulatory Authority, Inc. (FINRA) reported on their BrokerCheck […]

Soreide Law Group obtained the following information from FINRA’s Disciplinary Report from July 2017: Edward Thomas McFarlane (CRD #2492335, Glenside, Pennsylvania) was fined $5,000 and suspended by FINRA for two months for allegedly recommending and effecting unsuitable transactions involving inverse, leveraged, and inverse-leveraged exchange-traded funds (non-traditional ETFs) in clients’ accounts. FINRA’s findings stated that the […]