On 3/2/2023, ERIC JAMES STONE, formerly with FIDELITY BROKERAGE SERVICES LLC of Jacksonville, Florida, was permanently barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm. Stone was previously registered both as a broker and as an investment adviser.  He was with Fidelity from 02/18/2008 - 06/29/2021. According to the […]

On 10/30/2024, the Financial Industry Regulatory Authority (FINRA) suspended JESSE D KRAPF for five months for alleged excessive and unsuitable trading in a senior customer’s account, violating Regulation Best Interest. JESSE D KRAPF is currently with SPARTAN CAPITAL SECURITIES, LLC since 10/22/2019.  Krapf’s suspension begins 11/18/2024 and ends 4/17/2025. According to FINRA’s “Regulatory” report, without admitting […]

Steven LaMar Nielsen, has been registered with CENTAURUS FINANCIAL, INC. of Gilbert, Arizona since 8/7/2017 both as a broker and as a financial advisor. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, Nielsen has been in the securities industry for 24 years and was listed with 11 firms. According to BrokerCheck, Steven […]

In a recent article from the Des Moines Register, the U.S. Securities and Exchange Commission (SEC) recently settled cases with brokers, David F LeGrange and Laura B Barnes, of Bridges Financial, of Winterset, Iowa. According to the settlement, David F LeGrange and Laura B Barnes agreed to pay fines after the SEC accused them of […]

Soreide Law Group currently has a pending lawsuit against ROBERT M VANCE. Recently it was announced in an SEC Litigation Release that on September 24, 2024 the U.S. SECURITIES AND EXCHANGE COMMISSION (SEC) is now charging the California resident, ROBERT M VANCE, with failing to comply with Regulation Best Interest's Care Obligation when recommending high-risk […]

According to Yahoo Finance, Zoomcar Holdings, Inc. (NASDAQ: ZCAR) operates a marketplace for car sharing in India, Indonesia, and Egypt. Zoomcar connects hosts with guests, who choose from a selection of cars for affordable prices, promoting transportation solutions. Its platform offers vehicle searching and discovery, host and guest chat, vehicle and driver tracking, and ratings […]

According to FINRA’s BrokerCheck, available to the public on FINRA’s website, PETER LEWIS GOFFIN (PETER L GOFFIN), formerly of NEWBRIDGE SECURITIES CORPORATION of Boca Raton, Florida, has 10 “Customer Disputes” on his FINRA CRD report. Goffin may have allegedly sold GWG L Bonds to clients who suffered significant financial losses. The one other disclosure on […]

According to FINRA’s BrokerCheck, available to the public on FINRA’s website, RAJESH MARKAN, was permanently barred by FINRA on October 1, 2024.  Markan was previously registered with HILLTOP SECURITIES INC of Dallas, Texas, from 10/05/2022 - 08/12/2024.  Before Hilltop, Markan was registered with MERRIL LYNCH, PIERCE, FENNER & SMITH INC. of Flower Mound, Texas, from […]

Soreide Law Group, based in Pompano Beach, Florida, has filed a FINRA arbitration on behalf of their client (Claimant) against: EQUITABLE ADVISORS, LLC. (Respondent) The Claimant became a client of EQUITABLE ADVISORS, and their registered representative, VICTOR M TORRES in Ft. Lauderdale, Florida. According to the lawsuit, VICTOR M TORRES, specialized in selling variable insurance […]