JOSE A NAVARRO (JOSE ANTONIO NAVARRO, TONY NAVARRO), was listed with INDEPENDENT FINANCIAL, LLC, of Los Angeles, California, from 12/07/2017 - 08/15/2023. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, JOSE A NAVARRO, has been in the securities industry for 31 years and was listed with 6 firms.  Navarro has 2 disclosures […]

On September 9, 2024, SPENCER HUGGETT (SPENCER REED HUGGETT) was fined $5,000.00 and suspended for two months (10/7/2024 - 12/6/2024) by FINRA.  Huggett is currently registered both as a broker and investment advisor with CETERA ADVISOR NETWORKS LLC, of Webster, South Dakota, since 2022.  He was previously registered with LPL FINANCIAL LLC, of Webster, South […]

BILLY JAMES AYCOCK, is currently listed with CABIN SECURITIES, INC. of Overland Park, Kansas since December of 2023, both as a broker and as an investment advisor. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, BILLY JAMES AYCOCK has been in the securities industry for 23 years and was listed with 11 […]

ROBERT M DECHICK (ROBERT MICHAEL DECHICK) is currently registered, since 2012, with D.H. HILL SECURITIES, LLLP of Clemont, Florida.  Soreide Law Group is currently investigating claims of alleged sales of GWG L Bonds to clients. In April of 2022, GWG Holdings, Inc. filed for Chapter 11 bankruptcy. GWG had issued $1.6B of life settlement-backed bonds […]

In Cantor Fitzgerald, L.P. v. Ainslie (Del. Jan. 29, 2024), the Delaware Supreme Court reinforced the principle of “freedom of contract” by upholding a “forfeiture for competition” clause in a limited partnership agreement. This ruling, significant given Delaware's traditionally non-compete friendly stance, signals a shift in favor of enforcing sophisticated contractual agreements between parties.  Case […]

Delaware Corporations Must Employ Procedural Safeguards When Approving a Reincorporation That Could Benefit a Controlling Stockholder to Avoid Entire Fairness Standard of Review In Palkon v. Maffei (Del. Ch. Feb. 20, 2024), the Delaware Court of Chancery addressed whether the “entire fairness” standard of review applies to a controlling stockholder’s approval of reincorporation transactions that […]

Delaware Court Ruling in Ap-Fonden v. Activision Blizzard, Inc. and Implications for Corporate Law In Ap-Fonden v. Activision Blizzard, Inc., the Delaware Court of Chancery, under Judge McCormick, ruled on the adequacy of a merger agreement approved by Activision Blizzard’s Board of Directors. The decision has significant implications for how merger agreements must be presented […]

Supreme Court Rules on SEC Rule 10b-5(b) in Macquarie Infrastructure Corp. v. Moab Partners In the recent decision of Macquarie Infrastructure Corp. v. Moab Partners, No. 22-1165, 2024 WL 1588706 (U.S. Apr. 12, 2024) (“MIC”), the U.S. Supreme Court unanimously held that “pure omissions” in SEC filings do not support liability under SEC Rule 10b-5(b). […]

SEAN J FIELDS (SEAN JEFFEREY FIELDS), previously registered as a broker and investment advisor with PFS INVESTMENTS INC of Concord, California was suspended by FINRA for 6 months with a start date of 3/18/2024 and an end date of 9/17/2024, and fined $5,000.00.  Without admitting or denying FINRA’s findings, SEAN J FIELDS consented to the […]