On August 20, 2024, Gregory Alan Corrie was permanently barred from acting as a broker or otherwise associating with a broker/dealer firm by FINRA. Greg Corrie was discharged from CAMBRIDGE INVESTMENT RESEARCH, INC. of Boise, Idaho, on February 16, 2023, with allegations of, “Excessive use of UIT products.” He worked as a broker with Cambridge […]

BRIAN JOSEPH VISCONTI is currently with THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C. of Tampa, FL since March 8, 2022. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, BRIAN JOSEPH VISCONTI, has been in the securities industry for 13 years and has been listed with 7 firms. Visconti has 3 disclosures on his […]

On August 14, 2024, former UBS Financial Services Inc. of Newport Beach, California, broker, Luis E Nin, was fined $5,000 and given a one-month suspension by FINRA. According to a recent article in AdvisorHub, the ex-UBS broker placed 10 trades in a client’s account after allegedly finding out that the client had died. The article […]

A recent article in InvestmentNews, states that the Financial Industry Regulatory Authority Inc. (FINRA) has barred CHRISTOPHER B REYNOLDS (CHRISTOPHER BARRETT REYNOLDS), on August 16, 2024.  Reynolds had allegedly been forging clients’ signatures on annuities documents, with the goal of using proceeds of the liquidations of annuities to purchase units of a registered index-linked annuity […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC. (Respondent) The Claimant brings this lawsuit as a result of the Respondent and its former Financial Advisor, John Jay Kersey’s, alleged misconduct. According to FINRA’s BrokerCheck, NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC of Cincinnati, Ohio permitted […]

PETER LEWIS GOFFIN (PETER L GOFFIN), a former broker/financial advisor with Newbridge Securities of Boca Raton, Florida (10/06/2003 - 10/05/2023) currently has three pending “Customer Disputes.” Allegedly, some of these losses are due to recommendations of GWG L Bonds and other alternative investments, some totaling over $500,000 in damages. Some of the alleged alternative investments […]

According to a recent press release from the United States Attorney for the Western District of Wisconsin, David Swartz, 59, of Highland Park, Illinois was sentenced to 2 years in federal prison for wire fraud and assisting in the preparation of a false tax return. Swartz pleaded guilty to these charges on April 11, 2024. […]

CRAIG SHERMAN THISTLETHWAITE (CRAIG THISTLETHWAITE) a former Morgan Stanley of Perrysburg, Ohio, financial advisor, was suspended for 60 days and fined $5000.00 by FINRA over allegations that he exercised unauthorized discretion in clients' accounts and used an unapproved channel to communicate with a client. On July 24, 2024, without admitting or denying FINRA’s findings, CRAIG […]

Soreide Law Group has obtained a judgement on behalf of their client (Claimant) against: SW Financial, and their former registered representative, David Hilton Page (Respondents). The Claimant asserted the following causes of action: fraud; churning; negligence; misrepresentations; deception; breach of fiduciary duty; and negligent supervision. This was related to various securities. The Claimant requested compensatory […]