Matthew T Mierzycki (Matthew Thomas Mierzycki, Matthew Mierzycki), a broker/financial advisor currently listed with Ameriprise Financial Services in Round Rock, Texas, was fined $10,000.00 and suspended for four months following accusations that he allegedly used discretionary authority in client accounts and failed to disclose credit compromises to his employers. Without admitting or denying FINRA’s findings, […]

Joe David Gainer Jr, a former Wells Fargo of Marianna, Florida, broker/financial advisor, was barred by the Financial Industry Regulatory Authority (FINRA) over allegations that he accepted a $3 million gift from a client. Without admitting or denying FINRA’s findings, Joe David Gainer Jr consented to the sanction and to the entry of findings that […]

SARA YASMIN QAZI (SARA QAZI), a former Morgan Stanley of Beverly Hills, CA, broker/financial advisor, has been suspended for three months and fined $15,000, for allegedly participating in the sale of an outside investment without the firm’s approval.  Qazi was with Morgan Stanley from 09/21/2009 to 03/15/2021.  She is currently registered both as a broker […]

The Financial Industry Regulatory Authority (FINRA) permanently barred Christopher Booth Kennedy (Chris B. Kennedy, Chris Kennedy), previously listed with Western International Securities in Woodland Hills, California (12/02/2019 - 09/27/2021), for allegedly engaging in churning and excessive trading in the accounts of six clients between July of 2020 and July of 2021, according to the FINRA […]

Soreide Law Group is investigating the Oppenheimer Portfolio Enhancement Program or “PEP”. OPPENHEIMER & CO allegedly offered its best clients an opportunity to generate an extra 5% on its portfolio by borrowing money on margin to participate in its proprietary PEP program. The minimum investment increment was $1.25 million. PEP was sold as a hedged […]

Soreide Law Group is currently investigating potential claims on behalf of investors who have sustained losses attributed to broker and financial advisor, Garrett Wayne Moretz [CRD: 4086791, Mooresville, North Carolina]. Moretz joined Lifemark Securities Corp. on May 31, 2017. His previous associations include First Heartland Consultants Inc., from January 2010 until May 2017, and First […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: ARKADIOS CAPITAL and their former registered representative, JAMES T WALESA (Respondents). The Claimant is representing a trust and living in Nevada.  The lawsuit alleges that ARKADIOS CAPITAL broker, JAMES T WALESA, recommended $200,000.00 to be invested into a speculative private […]

The Financial Industry Regulatory Authority (FINRA) has initiated disciplinary actions against STEWART GINN (also known as STEWART TAYLOR, PAXTON GINN JR.), a broker currently with INDEPENDENT FINANCIAL GROUP, LLC of Encinitas, California, according to a recent article in Financial Advisor IQ.  The article states that Ginn allegedly earned millions of dollars in commissions while causing […]

The Florida-based Soreide Law Group was recently contacted by a client of Florida broker/investment advisor, PHILIPPUS THEUNIS VAN STADEN (PHILIPPUS VAN STADDEN, PHILIP VAN STADEN), who was sold iCap Investments. Van Staden has been with GREEN VISTA CAPITAL, LLC of Winter Park, Florida since July of 2018. He was previously listed with The Strategic Financial […]