Soreide Law Group, representing clients nationwide before FINRA, obtained the following information from the April 2018 Disciplinary Report from FINRA:  Guy Charles Conger (CRD #2280420, San Antonio, Texas) was assessed a deferred fine of $15,000 and suspended from association with any FINRA member in all capacities for six months for allegedly using discretion to place […]

Florida-based Soreide Law Group obtained the following on from FINRA’s April 2018 Disciplinary Report on Florida broker: JODIE ANN LAMARRE (JODIE ANN GINGERICH, JODIE ANN LAMARRE MS) (CRD #2127928, Sarasota, Florida) LaMarre was assessed a deferred fine of $10,000 and suspended by FINRA for one year for allegedly recommending an unsuitable strategy involving the consolidation […]

Soreide Law Group, based in Florida, obtained the following information from FINRA’s April 2018 Disciplinary Report on Florida broker: Heather Xanthe VanLandingham (CRD #5343446, Odessa, Florida) was fined $5,000 and suspended by FINRA for 20 business days for allegedly effecting transactions in a client’s account at her member firm without the client’s knowledge or authorization. […]

AFinancial Industry Regulatory Authority Inc. (FINRA) arbitration panel awarded a San Diego investor the entire amount of her claim, $1.67 million in compensatory and punitive damages, against broker, DAVID LLOYD BARBER CRD#: 1165082, and his firm, MADISON AVENUE SECURITIES. DAVID LLOYD BARBER was ordered to pay his former client $1.2 million of the compensatory and […]

Soreide Law Group obtained the following information on FINRA’s website under, “Disciplinary and Other FINRA Actions, January 2018.”  Robert Francis Leis (CRD #2396271, Louisville, Kentucky)  was assessed a deferred fine of $5,000 and suspended by FINRA for 20 business days for allegedly effecting securities transactions in the accounts of clients on a discretionary basis without […]

Soreide Law Group obtained the following information from FINRA’s December 2017 Disciplinary Report. CHERYLE ANNE BRADY (CHERYLE ANNE TIMMONS) (CRD #2226003, Marshfield, Massachusetts) was assessed a deferred fine of $7,500 and suspended by FINRA for six months for allegedly falsely stating to her member firm that she had contacted clients prior to trades being placed.R […]

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 […]