Soreide Law Group obtained the following on FINA’s Disciplinary Report February, 2017: The Office of Hearing Officers (OHO) issued the following decision, which has been appealed to or called for review by the NAC as of December 31, 2016. The NAC may increase, decrease, modify or reverse the findings and sanctions imposed in the decision. […]

On February 14, 2017, the Financial Industry Regulatory Authority (FINRA) announced that a FINRA hearing panel has expelled Plano, TX-based Red River Securities, LLC, and barred its CEO, Brian Keith Hardwick. Red River Securities, LLC, and Hardwick, were ordered by FINRA to jointly and severally pay $24.6 million in restitution to clients for fraudulent sales […]

Soreide Law Group is investigating claims on behalf of our client involving former LPL Financial and Edward Jones broker, MARCOS YANEZ (CRD#: 5353857). Mr. Yanez most recently worked at an LPL Financial office in Dallas, Texas. Mr. Yanez also maintained an outside electrician business. Upon information and belief, allegedly Mr. Yanez encouraged certain clients to […]

Soreide Law Group (888-760-6552) obtained the following from FINRA’s February, 2017 Disciplinary Report: Thomas Joseph Vilord (CRD #4261608, Sewell, New Jersey) was barred by FINRA for allegedly participating in undisclosed private securities transactions* involving more than $347,500 in unregistered corporate debenture notes sold to clients of his member firm. FINRA’s findings stated that Thomas Joseph […]

Soreide Law Group obtained the following complaint information from FINRA’s website under the February 2017 Disciplinary Report: (Issuance of a disciplinary complaint represents FINRA’s initiation of a formal proceeding in which findings as to the allegations in the complaint have not been made, and does not represent a decision as to any of the allegations […]

The Pompano Beach, Florida-based, Soreide Law Group obtained the following information from FINRA’s website: Mark Robert Holcombe (CRD #2901441, Pompano Beach, Florida) was assessed a deferred fine of $10,000 and suspended by FINRA for nine months for allegedly participating in two separate private securities transactions involving a company for which he served as the chairman […]

Soreide Law Group obtained the following complaint on FINRA’s website under, “Disciplinary and Other FINRA Actions, January 2017.” (Issuance of a disciplinary complaint represents FINRA’s initiation of a formal proceeding in which findings as to the allegations in the complaint have not been made, and does not represent a decision as to any of the […]

Soreide Law Group, based in South Florida, obtained the following complaint from FINRA’s website under, “Disciplinary and Other FINRA Actions, January 2017.” (Issuance of a disciplinary complaint represents FINRA’s initiation of a formal proceeding in which findings as to the allegations in the complaint have not been made, and does not represent a decision as […]

Soreide Law Group (888-760-6552) obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions January 2017.” (FINRA issued the following complaint, and the issuance of a disciplinary complaint represents FINRA’s initiation of a formal proceeding in which findings as to the allegations in the complaint have not been made, and does not […]