Soreide Law Group obtained the following information, which is available to the public, on FINRA’s website under, “Disciplinary and Other FINRA Actions, August 2017.”  Toby McGrath (CRD #5437369, Woodbury, Connecticut) (aka: TOBY HINKLE, TOBY HINKLE MCGRATH)  was barred from association with any FINRA member in all capacities for allegedly converting over $1,600 of her member […]

Soreide Law Group obtained the following information from FINRA's August 2017 Disciplinary Report: Jeffrey Donald Noard (CRD #1983392, Menomonee Falls, Wisconsin) A NAC decision became final in which Noard was fined $2,500 and suspended from association with any FINRA member in all capacities for 10 business days. NAC imposed the sanctions based on findings that […]

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 […]

Soreide Law Group obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions August 2017:” Cathy Ione Earnest (aka CATHY RUE) (CRD #2606992, Chicago, Illinois) was barred by FINRA for allegedly refusing to produce FINRA-requested information and documents in connection with an investigation into allegations received in a complaint by her member […]

On August 10, 2017, the Financial Industry Regulatory Authority Inc. (FINRA) announced that it has fined FSC Securities Corp., $100,000 and ordered a $492,000 payment to clients for FSC's alleged failure to reasonably supervise leveraged ETFs from January of 2009 through September of 2014. FSC Securities Corp, is one of the Advisor Group’s broker/dealers.  Several […]

Soreide Law Group obtained the following information from FINRA’s July, 2017 Disciplinary Report:  Laurence M. Rothstein (CRD #4591152, Cumming, Georgia) was fined $10,000 and suspended by FINRA for two months for allegedly causing his member firm’s books and records to be inaccurate by entering false savings goals for his clients into a firm-created database that […]

DAVID PAUL HOBSON (DAVID HOBSON) CRD#: 2448412 was barred by the SEC from acting as a broker or investment advisor or otherwise associating with firms that sell securities or provide investment advice to the public.  DAVID HOBSON was also barred from participating in any offering of a penny stock, including: acting as a promoter, finder, […]

Soreide Law Group is currently investigating on behalf our clients, Capital Financial Services of The Woodlands, Texas, broker: MARK RAYMOND SITTER CRD#: 1810591 Soreide Law Group has been contacted by several clients from Texas who invested in high-risk Real Estate Investment Trusts or REITs through broker, Mark Sitter. These REITs were including, but not limited […]

ANTHONY VINCENT FERRONE CRD#: 1192506 Without admitting or denying the findings, on July 25, 2017, Ferrone consented to the sanction and to the entry of findings that he allegedly appeared for on-the-record testimony but refused to provide complete testimony and departed the testimony before its completion during the course of FINRA's investigation into his potential […]