FINRA Fines Laidlaw & Company Ltd. Laidlaw & Company Ltd. (CRD #119037, New York, New York) is a broker-dealer registered with the Financial Industry Regulatory Authority (“FINRA”) that submitted a Letter of Acceptance, Waiver and Consent, resulting in FINRA imposing a censure and $25,000.00 fine to resolve allegations that Laidlaw failed to supervise its registered […]

Soreide Law Group obtained the following information on FINRA’s website from the May 2018 Disciplinary Report.  Frank Bazan (CRD #5593113, Houston, Texas) was assessed a deferred fine of $20,000 and suspended from association with any FINRA member in all capacities for seven months for allegedly failing to disclose to his member firm that he was […]

Soreide Law Group, based in South Florida, obtained the following information from FINRA’s May 2018 Disciplinary Report.  Ricardo Alfredo Estrada (CRD #4130208, Coral Gables, Florida) was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in all capacities for two months following allegations that he engaged in an outside business […]

The Forida-based Soreide Law Group obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions, May 2018.”  Michael Douglas Hanke (Mike Hanke) (CRD #3158013, Tampa, Florida) was assessed a deferred fine of $10,000 and suspended from association with any FINRA member in all capacities for one month for allegations that he executed […]

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 […]