Soreide Law Group has been contacted by clients of KAREN YVONNE GEIGER (KAREN YVONNE BOWMAN, KAREN YVONNE TANASKA), who were sold GWG L Bonds and incurred significant losses. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, KAREN YVONNE GEIGER, has been in the securities industry for 35 years and was listed with […]

DELIO EDUARDO LONDONO (DEL E LONDONO, DEL LONDONO) was with SAGEPOINT FINANCIAL of La Crescenta, California, from 05/06/2010 - 09/16/2020.  Londono was previously registered both as a broker and as an investment advisor. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, DEL E LONDONO, has been in the securities industry for 19 […]

JACK B MCBRIDE was barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm on August 4, 2023. McBride was previously registered both as a broker and as an investment advisor. He was with B. RILEY WEALTH MANAGEMENT of Plymouth, Michigan from 08/11/2014 - 01/11/2022, and with NEWBRIDGE SECURITIES CORPORATION […]

VINCENT JEROME CAMARDA, the most recently with, IBN Financial Services, Inc., and Traderfield Securities, of Massapequa, New York, according to FINRA's BrokerCheck, has 19 disclosures on his FINRA CRD report.  Of the 19 disclosures, 17 are “Customer Disputes,” 13 were filed in 2024 alone. The damage amounts requested for 5 of the pending disputes from […]

The Securities and Exchange Commission (SEC) reached a settlement of $437,900 in penalties with Maloney Securities Co. Inc. and three of its financial advisors, for violating Regulation Best Interest (Reg BI) in the sales of bonds issued by GWG Holdings Inc., which declared bankruptcy in April 2022, according to a recent article in InvestmentNews. Regulation Best Interest […]

Soreide Law Group has filed a FINRA arbitration on behalf of their client (Claimant) against: NEWBRIDGE SECURITIES CORPORATION The Claimant is in his seventies and lives in North Carolina. On or about 2018, the Claimant received a phone call from his firm that his previous broker was no longer with the firm and Jack B […]

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 […]