Soreide Law Group, based in Florida, obtained the following information from the June 2018 FINRA Disciplinary Report, available to the public on FINRA’s website.  Vincent Santoro (CRD #3006826, Lake Mary, Florida)  was barred by FINRA all capacities for allegedly refusing to appear for a FINRA on-the-record testimony in connection with an investigation into allegations regarding […]

BRADLEY EVERETT GARDNER (CRD#: 4423724) an advisor formerly with LPL Financial in Fort Bragg, California, has been barred by FINRA from acting as a broker or otherwise associating with a broker-dealer firm, following allegations of misappropriating $7,400 from an elderly client. According to FINRA, Gardner allegedly accepted a $7,400 personal check from the elderly client […]

ATTENTION PAYSON PETROLEUM INVESTORS – CALL Our Securities Lawyers if You’ve Invested with Payson Petroleum, Payson Operating, or any of Their Private Placements If you have invested in any of Payson Petroleum/Payson Operating’s private placements, including the 3 Well Programs, contact our securities lawyers for a free consultation.  Our lawyers have recovered tens of millions […]

MARK JOSEPH GILLIS (MARK J GILLIS) CRD#: 2381496, 48 years-old from Saranac Lake, New York, was sentenced to time served and a year of home detention for defrauding clients of his brokerage firm out of nearly $400,000. Gillis was ordered by the Senior U.S. District Judge to forfeit $379,562 and to pay $226,500 in restitution […]

The following four registered representatives were barred from acting as a broker or otherwise associating with a broker-dealer firm by FINRA in May of 2018 for allegedly failing to cooperate with FINRA investigations: LEONA LYNN PARSONS (LEONA PARSONS) CRD#: 6164352  AMY ELIZABETH PESINA (AMY ELIZABETH O'CONNOR) CRD#: 6503149   DALLAS RICHARDSON YORK (DALLAS YORK) CRD#: […]

STEVEN PAGARTANIS (STEVE PAGARTANIS) CRD#: 1958879, a 58 year-old former financial advisor was charged with two counts of first-degree larceny and two counts of second-degree larceny by the Suffolk County, New York prosecutors. A separate action was filed by the Securities and Exchange Commission (SEC) in the Federal District Court in Brooklyn, New York. This […]

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 […]

HOWARD MILTON PRICE III (HOWARD PRICE) CRD#: 4650960, a 44 year old broker, formerly with AXA Advisors in Scottsdale, Arizona, was charged with stealing $475,000 from three of his clients' retirement accounts. Officials said that Howard Price III is charged with one count of fraudulent schemes and artifices and three counts of theft. According to […]

Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against NATIONAL SECURITIES CORPORATION (Respondent). The Claimants, a married couple, have suffered losses due to the alleged mishandling the Claimants’ assets by the Respondent by failing to properly allocate and diversify the Claimants’ investment portfolios by over concentration their holdings into […]