BRION PATRICK HARRIS (BRION P HARRIS) is currently listed a broker with CETERA WEALTH SERVICES, LLC, of Annapolis, Maryland since 9/20/2019 and as an investment advisor since 6/29/2023 with CETERA INVESTMENT ADVISERS LLC of Annapolis, Maryland. Harris was previously listed with SUMMIT FINANCIAL GROUP INC of Annapolis, Maryland as an investment advisor from 10/16/2013 - […]

JOSE A QUINONES (JOSE ANTHONY QUINONES JR, TONY QUINONES JR, TONY QUINONES) has been permanently barred by FINRA from acting as a broker or otherwise associating with a broker-dealer firm on 6/10/2025.  Quinones was registered as a broker with PFS INVESTMENTS INC of Kissimmee, Florida, from10/29/2014 - 12/31/2024. According to the FINRA report, without admitting […]

DARIEN EUCLID BONNEY (DARIEN E BONNEY) of Scottsdale, Arizona, was ordered to pay $1.98 million in restitution and $30,000.00 in penalties by the Arizona Corporation Commission and Bonney’s Arizona securities salesman registration was also revoked, according to a recent article in the Daily Independent of Phoenix. Bonney was a broker with MML INVESTORS SERVICES LLC […]

On August 14, 2025, the Financial Industry Regulatory Authority (FINRA) ordered PFS INVESTMENTS INC to pay restitution to customers who paid excessive fees. The firm was censured and ordered to pay $710,738.55 plus interest in restitution to the affected customers. According to the FINRA report, without admitting or denying FINRA’s findings, PFS INVESTMENTS INC consented […]

CAROL LYNN ABDO-BROWNSBERGER (CAROL L ABDO-BROWNSBERGER, CAROL LYNN ABDO) was fined and suspended by FINRA over allegations about her involvement in a foundation that received a $675,000 bequest from a deceased client’s estate, according to a recent article in Advisor Hub. She was listed with WELLS FARGO CLEARING SERVICES LLC of Daytona Beach, Florida from […]

ROBERT ALLEN MOORE JR (ROBERT A MOORE) has been registered as a broker with J. ALDEN ASSOCIATES, INC. of Wayne, Pennsylvania, since 7/6/2022 and as an investment advisor with PINE VALLEY INVESTMENTS of Marlton, New Jersey since 4/1/2016. According to BrokerCheck, available to the public on FINRA’s website, ROBERT A MOORE has 24 years of […]

Soreide Law Group, based In South Florida, has been contacted by investors who purchased high-risk, illiquid, alternative investments and suffered losses.  It has been brought to our attention that broker, RODGER ERIK THOMAS (ROD THOMAS, RODGER E THOMAS, RODGER THOMAS) currently registered with NEWBRIDGE SECURITIES CORPORATION of Boca Raton, Florida, may have recommended GWG L […]

Soreide Law Group is currently investigating claims by investors who may have been recommended purchasing high-risk, illiquid investments including but not limited to, GWG L bonds by broker, JOHN CALDERWOOD STARKE SR (JOHN C STARKE, JOHN CALDERWOOD STARKE). According to FINRA’s BrokerCheck, available to the public on FINRA’s website, JOHN C STARKE was last listed […]

LISA ANNE BOISSELLE (aka LISA BOISSELLE, LISA ANNE HOMER, LISA ANNE JAGER, LISA JAGER), 54-year-old former registered advisor in Scottsdale, Arizona, was charged by Arizona regulations with allegedly promoting two international Ponzi-like schemes that defrauded her clients of almost $1.4 million, according to a recent article from the Financial Advisor. LISA ANNE BOISSELLE, and her […]