DANIEL MICHAEL ROPER (DANIEL M ROPER), according to a FINRA report dated 7/17/2025, was fined by FINRA $15,000.00, suspended for 2 years, and $80,747.00 in disgorgement over allegations that he allegedly engaged in profit sharing with a client who was a family member.  Roper was registered from 03/25/2019 - 09/15/2023 with CHARLES SCHWAB & CO […]

WILLIAM CHARLES BURKS II (BILL BURKS II, WILLIAM C BURKS II) is currently listed as a broker since 8/29/2000, and as an investment advisor since 11/8/2011, with CENTAURUS FINANCIAL, INC. of Flower Mound, Texas. Burks was recently fined and suspended by FINRA. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, WILLIAM C […]

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

Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CENTAURUS FINANCIAL, INC.(Respondent). The Claimants are retired and living in Arizona. The lawsuit states that they were looking for stable investments that would provide them with income. The Claimants have been clients of CENTAURUS FINANCIAL, INC and their registered representative, […]

Soreide Law Group has filed a FINRA arbitration on behalf of their clients (Claimants) against: WESTERN INTERNATIONAL SECURITIES, INC (Respondent). The Claimants, a married couple, one retired and one working part time, reside in Idaho. The lawsuit states that WESTERN INTERNATIONAL SECURITIES' (WIS) former registered representative, Lisa-Ann Tomiko Nouchi (Lisa Nouchi), has been friends with the […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: EDWARD JONES. The Claimant is in her mid-sixties and resides in Texas. The Claimant maintained brokerage accounts with EDWARD JONES and their former registered representative, Reuben Lamont Brown (Reuben L Brown). Brown was an employee and registered representative of EDWARD […]

Soreide Law Group, based in Pompano Beach, Florida, has been contacted by investors who were sold structured notes linked to the performance of the Ark Innovation Fund. These investors have alleged this product may have been recommended by JOSHUA A GREEN. JOSHUA AARON GREEN (JOSHUA A GREEN, JOSH GREEN) has been registered both as a […]

MACK LEON MILLER (MACK L MILLER, MACK MILLER, MARK MILLER) currently a registered representative with SPARTAN CAPITAL SECURITIES, LLC of New York, NY, since 4/27/2017, has been suspended by FINRA for nine months.  The start date is 9/2/2025 and the end date is 6/1/2026.  According to the FINRA report, without admitting or denying FINRA’s findings, […]

According to a recent article in InvestmentNews by Bruce Kelly, former registered representative, JAMES THADDEUS WALESA (JAMES T WALESA, JIM WALESA) is at the center of investor complaints seeking millions of dollars in damages.  Walesa was recently sued by FINRA, which InvestmentNews calls “the first step in the advisor being barred from the securities industry.” Walesa was […]