BRUCE COLIN WORTHINGTON (CRD#: 2193895) was suspended by FINRA from acting as a broker on December 31, 2018.  According to FINRA, if Worthington fails to request termination of the suspension within three months of the date of the Notice of Suspension, he will automatically be barred on March 11, 2019, from association with any FINRA […]

JOHN WILLIAM SPACH CRD#: 2731192, formerly with Kestra Investment Services of Aliso Viejo, California, was barred on February 21, 2019, by the Financial Industry Regulatory Authority, Inc. (FINRA) for failing to respond to FINRA’s request for information during an investigation of a client complaint. According to FINRA, without admitting or denying the findings, Spach consented […]

Soreide Law Group, based in Florida, has filed a complaint on behalf of their client (Claimant) against: NEWBRIDGE SECURITIES CORPORATION (Respondent) regarding alleged losses in GPB Capital Holdings and the Lodging Opportunity Funds. The Claimant, who resides in Florida, maintained accounts with the Respondent and their Financial Advisor, Peter L. Goffin. Goffin is not named […]

JAMES TRAVIS FLYNN (JIM FLYNN) CRD#: 3082615 was barred by FINRA from acting as a broker or otherwise associating with a broker-dealer firm from September 4, 2018.   Allegedly, Flynn failed to request termination of his suspension within three months of the date of the Notice of Suspension; therefore, he was automatically barred from association with […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: FIRST ALLIED SECURITIES, INC. (Respondent) The Claimant, who resides in Kentucky, maintained an investment relationship with the Respondent and its Financial Advisor, Christopher Douglas Risher (Chris Risher) CRD#: 4325125.  Chris Risher has not been named in the lawsuit.  FIRST ALLIED […]

LPL Financial Terminates Brokers Paul Avila, Eric Heinz, Ioannis Papatherapontos LPL Financial LLC (CRD#: 6413) is a both a brokerage firm which Financial Industry Regulatory Authority (“FINRA”) regulates, and an investment advisory that the Securities and Exchange Commission (“SEC”) regulates. LPL Financial reports that 148 regulatory actions were brought against the firm for violating securities […]

Soreide Law Group Investigating Possible Claims Against Adam Thomas Marquardt Soreide Law Group is investigating possible claims on behalf of those who invested with Adam Marquardt (CRD#: 5307192, Rochester, Minnesota), a securities representative who joined Wells Fargo Advisors Financial Network, LLC on April 23, 2010. Notably, Financial Industry Regulatory Authority (“FINRA”) reported that a customer […]

KYLE PATRICK HARRINGTON (KYLE HARRINGTON) CRD#: 2282328, a broker formerly with AURORA CAPITAL LLC of BRIDGEHAMPTON, NY, was barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm for allegedly converting a client’s funds.  Harrington was ordered to pay $105,000, plus interest, in restitution to his member firm and ordered […]

ATTENTION INVESTORS: Complaints Filed Against LPL Financial Brokers Michael Botwinick, Christopher Dunlap, Brian Midi Soreide Law Group is reviewing possible investor claims against brokers of LPL Financial LLC (CRD#: 6413, Boston, Massachusetts) who may have engaged in sales practice violations. Notably, the firm disclosed through Financial industry Regulatory Authority (“FINRA”) that customers brought fifty-four investment-related […]