DAVID KITCHEN FRANKLIN (DAVID K FRANKLIN) was permanently barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm on 10/21/2025.  Franklin was formerly registered as a broker with INTEGRAL WEALTH SERVICES LLC of New York, NY from 08/06/2018 - 06/09/2025. According to the FINRA report, without admitting or denying FINRA’s […]

Soreide Law Group, PLLC At Soreide Law Group, we help investors, shareholders, and publicly traded companies navigate the complex federal rules governing the resale of restricted or control securities. Our attorneys understand that clearing restrictive legends and ensuring compliance with Rule 144 or other resale exemptions can be time-sensitive and critical to protecting shareholder rights. […]

AEGIS CAPITAL CORP, with its main office located in New York, was censured, and fined $275,000.00 according to the FINRA report dated October 17, 2025. A recent article from FNG, states that since 2019, AEGIS CAPITAL CORP has paid several million dollars to its corporate parent. Allegedly, Aegis recorded the payments in its general ledger […]

Robert David Bienvenu (Bobby Bienvenu, Robert D Bienvenu) was permanently barred by FINRA on 10/16/2025 from acting as a broker or otherwise associating with a broker/dealer firm. Bienvenu was previously listed as a broker with Edward Jones of Harahan, Louisiana from 09/24/2024 - 08/05/2025. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, […]

ALEXANDER INVESTMENT SERVICES CO. was censured and fined $25,000.00 as part of a settlement with the Financial Industry Regulatory Authority (FINRA). Their main office location is in Louisville, Kentucky. Without admitting or denying FINRA’s findings, ALEXANDER INVESTMENT SERVICES consented to the sanctions and to the entry of findings that it allegedly failed to comply with […]

BRYON EDWIN MARTINSEN (BRYON E MARTINSEN) was registered as a broker with CENTAURUS FINANCIAL INC of Kings Park, New York from 10/07/1999 - 09/16/2022.  Martinsen is currently not registered with any firm. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, BRYON E MARTINSEN has 35 years of experience in the securities industry […]

DAVID VICTOR JANNY (DAVID V JANNY) has been registered both as an investment advisor and as a broker with AMERIPRISE FINANCIAL SERVICES, LLC of Westport, Connecticut since 7/15/2022.  He was previously registered as an investment advisor and broker with MORGAN STANLEY of Westport, Connecticut from 11/21/2012 - 08/03/2022. According to FINRA’s BrokerCheck, available to the […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: LANDOLT SECURITIES, INC. (Respondent). The Claimant resides in Florida and is in his late sixties.  The Claimant met LANDOLT SECURITIES’ former registered representative, MICHAEL ARTHUR SEBALD (MICHAEL A SEBALD, MIKE SEBALD) on or about 2020. The lawsuit alleges that LANDOLT […]

Because of the depth and liquidity of the U.S. capital markets, American investors often represent a valuable supplementary investor base for both public and private Canadian offerings and foreign offerings in general. Yet for many Canadian issuers and their advisors, understanding the U.S. securities exemptions for foreign issuers can appear complex and intimidating. When a […]