MATTHEW ADAM NORTH (MATT NORTH, MATTHEW A NORTH) was permanently barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm. This bar has a start date of 4/20/2026. MATTHEW A NORTH was registered with JACKSON NATIONAL LIFE DISTRIBUTORS LLC of Lansing, Michigan from 10/16/2023 - 09/03/2025. The FINRA report alleges, […]

WILLIAM BERNARD TUNINK (WILLIAM B TUNINK, BILL TUNINK) has been barred from acting as a broker or otherwise associating with a broker/dealer firm by FINRA. The bar starts on 6/16/2026. WILLIAM B TUNINK was registered with LPL FINANCIAL LLC of West Des Moines, Iowa from 10/29/2021 - 09/23/2025. According to the FINRA report, WILLIAM B […]

ERNESTO A CHAVEZ JR is currently registered both as a broker and financial advisor with EMERSON EQUITY LLC of Nogales, Arizona since March of 2022. Before Emerson, Chavez was registered both as a broker and financial advisor with WESTERN INTERNATIONAL SECURITIES INC of Nogales, Arizona from 2015 – 2022. According to FINRA’s BrokerCheck, ERNESTO A […]

Soreide Law Group has filed the second FINRA arbitration recently on behalf of our client (Claimant) who was also a client JONATHAN MALINGER against: WEDBUSH SECURITIES INC. (Respondent) The Claimant, who resides in Idaho, brings this claim to recover losses caused by the Respondent. The lawsuit alleges that the Respondent’s former Financial Advisor, JONATHAN HILTON […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: MARK JEFFREY GRANT, B. RILEY WEALTH MANAGEMENT, and COLLIERS SECURITIES, LLC. (Respondents) The Claimant is in her seventies, retired, and living in Florida.  She made the following claims against the Respondents, MARK JEFFREY GRANT (GRANT, MARK J GRANT), B. RILEY […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against:  WEDBUSH SECURITIES INC. (Respondent). The Claimant resides in Hawaii.  According to the lawsuit, the Claimant brings this claim to recover losses allegedly caused by the Respondent. The Respondent’s former Financial Advisor, JONATHAN H MALINGER, allegedly made unsuitable and unauthorized trades […]

FRANCISCO M GOMEZ (FRANCISCO MANUEL GOMEZ, FRANK GOMEZ) has been suspended by FINRA from acting as a broker with a start date of 4/6/2026.  The “Regulatory” disclosure was dated 3/13/2026.  The allegations against Gomez were, “Respondent Gomez failed to respond to FINRA requests for information.” The duration of the suspension was listed as, “Continues until […]

CAROLYN MARIE DAMMEYER (CAROLYN M DAMMEYER) has been permanently barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm. The start date of the bar was 4/16/2026. Dammeyer was registered as a broker with W&S BROKERAGE SERVICES INC of Celina, Ohio, from 07/13/2018 - 06/06/2025. The Regulatory disclosure was initiated […]

KEVIN CHRISTOPHER MCCARTHY (KEVIN C MCCARTHY) was permanently barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm with a start date of 5/7/2026.  McCarthy was registered as a broker with MADISON AVENUE SECURITIES LLC of Hialeah, Florida, from 12/04/2007 - 01/30/2026. McCarthy was previously registered both as a broker […]