PHILLIP CURTIS ANDERSON (PHILLIP C ANDERSON) was registered with KINGSWOOD CAPITAL PARTNERS LLC of Roseville, California, from 06/15/2018 - 06/30/2023. According to the FINRA report, on 5/13/2025, PHILLIP C ANDERSON was fined $10,000.00, ordered to pay disgorgement of $8,280.00, and suspended in all capacities for five months by the Financial Industry Regulatory Authority (FINRA). Without […]

KIRK JAMES CROSSEN (KIRK J CROSSEN) was previously registered with MORGAN STANLEY of Indianapolis, Indiana, from 09/16/2016 - 05/08/2023 and most recently with RAYMOND JAMES & ASSOCIATES of Carmel, Indiana, from 04/12/2023 - 11/16/2023. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, in a “Regulatory” report dated 5/1/2025, KIRK J CROSSEN was suspended […]

RONALD G SMITH (RON G SMITH) was formerly registered with SPARTAN CAPITAL SECURITIES of New York, NY from 07/01/2013 - 12/26/2023, and most recently with SANFORD C BERSTEIN & CO of Stamford, Connecticut from 01/11/2024 – 11/10/2025, was permanently barred by FINRA with the starting date of 11/10/2025. According to the FINRA report, without admitting […]

Jacob Lee Harper (Jacob L Harper, Jake Harper) formerly registered as a broker and a financial advisor, was suspended for twenty-two months and fined $17,500.00 after FINRA alleged he borrowed thousands of dollars from clients without his firm’s knowledge and later allegedly provided false information to regulators. The “Regulatory” disclosure on BrokerCheck is dated 11/10/2025. […]

BARRY LUTHER BUCHOLZ (BARRY L BUCHOLZ) was fined $7,500, ordered to pay $7,480 in disgorgement and suspended for one month by the Financial Industry Regulatory Authority (FINRA). Bucholz, a former LPL Financial broker allegedly traded without authorization in four customers’ accounts. BARRY L BUCHOLZ was listed with LPL Financial LLC of Cedar Rapids, Iowa from 10/11/2021 […]

THOMAS GREGORY SCHEIMAN (THOMAS G SCHEIMAN) is currently listed as a broker since 1990 and as a financial advisor since 2003 with INDEPENDENCE CAPITAL CO., INC. of Parma, Ohio.  SCHEIMAN was recently fined $5,000.00, ordered to pay a disgorgement of $2,600.00, and was suspended for two months by FINRA. According to the FINRA report, THOMAS […]

PHILLIP CURTIS ANDERSON (PHILLIP C ANDERSON) was fined $10,000.00, ordered to pay disgorgement of $8,280.00, and was suspended for five months by FINRA. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, the “Regulatory” disclosure dated 5/13/2025 states the following: “Without admitting or denying the findings, Anderson consented to the sanctions and to […]

Soreide Law Group filed a FINRA arbitration on behalf of our client (Claimant) against: WESTERN INTERNATIONAL SECURITIES, INC. (WIS). (Respondent) The Claimant is in his late sixties and lives in California. On or about 2019, the Claimant was invited to a presentation on retirement income by a WESTERN INTERNATIONAL SECURITIES’ former broker. The lawsuit alleges […]

Soreide Law Group, based in Pompano Beach, Florida, has been investigating the former Merrill Lynch, Boca Raton, Florida broker/investment advisor, ISAIAH THOMAS WILLIAMS JR, (ISAIAH T WILLIAMS JR, ISAIAH T WILLIAMS). Williams worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INC in Boca Raton from 2017 until his “voluntary resignation” in December of 2024. The […]