According to FINRA’s BrokerCheck, available to the public on FINRA’s website, SANFORD GRAHAM SIMMONS JR (SANDY SIMMONS JR, SANFORD GRAHAM SIMMONS) was permanently barred from acting as a broker or otherwise associating with a broker/dealer firm by FINRA on October 17, 2024.  Simmons was previously registered both as a broker and as an investment advisor. […]

DALE ERBIN TIMMERMANN, according to FINRA’s BrokerCheck, is currently registered as a broker with MOLONEY SECURITIES CO INC of Vandalia, Illinois. Timmermann has been with MOLONEY SECURITIES since January 17, 2012. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, DALE ERBIN TIMMERMANN has been in the securities industry for 31 years and […]

According to FINRA’s BrokerCheck, available to the public on FINRA’s website, PETER BRIAN ROBERTSON is currently with OSAIC WEALTH INC of Irvine, California.  Robertson registered as a broker with OSAIC WEALTH INC, June 1, 1998, and as an investment advisor on December 19, 1997. PETER BRIAN ROBERTSON, according to FINRA’s BrokerCheck, has been in the […]

DANNY RAY STRAIN (DAN STRAIN) is currently registered with CAPE SECURITIES INC of Columbus, Georgia since 2008 as a broker, and 2009 as an investment advisor with CAPE INVESTMENT ADVISORY INC, also of Columbus, Georgia. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, DANNY RAY STRAIN has been in the securities industry […]

JUSTIN TEX ROBERTO was previously registered as a broker and is currently registered as an investment advisor.  Roberto was discharged from MML INVESTORS SERVICES LLC of Virginia Beach, Virginia. According to FINRA’s BrokerCheck, there is an “Employment Separation after Allegations” listed on JUSTIN TEX ROBERTO’s FINRA CRD report dated October 9, 2024. The allegations listed […]

ARMANDO ALEJANDRO BARRON (ALEX A BARRON), according to a disclosure on FINRA’s BrokerCheck dated January 8, 2025, has been fined $50,000.00 and suspended from acting as a broker for two years, with a start date of 1/21/2025 and an end date of 1/20/2027.  Barron was previously employed by IRC SECURITIES LLC of New York, NY […]

Soreide Law Group, based in Pompano Beach, Florida, has filed a FINRA arbitration on behalf of our client (Claimant) against: CABOT LODGE SECURITIES LLC (Respondent) The Claimant in his mid-70s, is retired and living in Texas. The lawsuit alleges the Claimant met broker, DAVID L ARLEIN, sometime on or about 2014 and discussed investments with […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Baris Cabalar (also known as Barry Calabar) [CRD: 4749342, Fort Lauderdale, Florida]. Baris Cabalar has worked for five firms in his 17-year career. Evidently, he is employed at PHX Financial, Inc. since December 18, 2015. Recent disclosures reveal concerns about Cabalar’s conduct, including allegations […]

Soreide Law Group has filed a FINRA arbitration on behalf of their client (Claimant) against: WELLS FARGO CLEARING SERVICES, LLC (Respondent). The Claimant, in his mid-70s, is retired and living in Georgia. According to the lawsuit, the Claimant maintained his funds in cash accounts at Wells Fargo Bank and was referred to WELLS FARGO broker, […]