The Financial Industry Regulatory Authority (FINRA) barred BRAD MICHAEL JACOBSON (BRAD M JACOBSON), formerly with WELLS FARGO CLEARING SERVICES, LLC of Linwood, New Jersey on July 5, 2023. Jacobson was with Wells Fargo from 11/16/2011 - 04/25/2022. Without admitting or denying FINRA’s findings, Jacobson consented to the sanction and to the entry of findings that […]

On August 3, 2023, the Financial Industry Regulatory Authority (FINRA) barred TIMOTHY JAMES BRESLIN a former financial advisor/broker who was accused of allegedly falsifying financial statements. According to the FINRA report, without admitting or denying FINRA’s findings, TIMOTHY JAMES BRESLIN consented to the sanction and to the entry of finding that he allegedly provided falsified […]

The Securities and Exchange Commission (SEC) recently announced charges against, CLARICE CRYSTAL SAW (CLARICE SAW, CHIN SAW, CLARICE CHIN SAW) for allegedly defrauding an elderly client of approximately $2.4 million.  According to the allegations, Saw then used the funds to finance her own personal spending. According to the SEC complaint, the alleged victim is a […]

Soreide Law Group has filed a FINRA arbitration on behalf of their client (Claimant) against: CITIGROUP GLOBAL MARKETS INC., and their registered representative THOMAS PAUL TIBALDI (THOMAS P TIBALDI) (Respondents). The Claimant lives in New York and has been a client of CITIGROUP broker, THOMAS P TIBALDI for several years.  The Claimant is nearing retirement […]

Soreide Law Group, based in South Florida, is currently investigating investor claims regarding the broker/investment advisor, CHUCK A ROBERTS of Miami Beach, Florida.  Roberts has been a registered representative of STIFEL, NICOLAUS & COMPANY of New York, New York, and Miami, Florida, since 2016. He currently is the Managing Director/Investments, according to the Stifel website. […]

On July 19, 2023, the Financial Industry Regulatory Authority (FINRA) barred JOHN CHARLES JACOBSEN (JOHN C JACOBSEN), formerly with Morgan Stanley of Little Falls, New Jersey.  According to the FINRA report, Jacobson was allegedly terminated over revenue sharing with another representative. Without admitting or denying FINRA’s findings, JOHN C JACOBSEN consented to the sanction and […]

According to FINRA’s BrokerCheck, available to the public on FINRA’s website, MARK WILLIAM JUST (MARK W JUST), has been in the securities industry for 37 years and has been listed with 7 firms.  He has been registered both as a broker and an investment advisor. According to the SEC’s website, Just is currently registered as […]

According to FINRA’s BrokerCheck, on June 14, 2023, BRODY R BRAY, was suspended by FINRA for six months, from 6/20/2023 to 12/19/2023, and sanctioned $10,000.00. Bray was formerly with AMERICAN PORTFOLIOS FINANCIAL SERVICE, INC. of  Atlanta, GA. Without admitting or denying FINRA’s findings, BRODY R BRAY consented to the sanctions and to the entry of […]

Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: WELLS FARGO CLEARING SERVICES, LLC (Respondent) The Claimant is a widow living in Pennsylvania.  The lawsuit claims that the Claimant maintained most of her funds in cash accounts at Wells Fargo bank and was referred to WELLS FARGO broker, Boris […]