Florida broker Emily Palmer Vitale, with Florida Investment Advisors now known as BT Wealth Advisors, a subsidiary of The Tampa Banking Co., was fined $5000 and suspended for three months by FINRA for allegedly forging a client’s signature. In January 2014, Vitale allegedly cut and pasted a customer’s signature from another document to another.
Christopher Somes Babcock, was barred by FINRA. A former broker with Citigroup Global Markets and Morgan Stanley Smith Barney, Babcock allegedly took $160,000 from his customers and used it for his own use and benefit. Babcock also falsified a customer’s account summaries, falsely inflating the value of the customer’s portfolio.
Jeffery Bowman Ellis, 65, was fined $10,000 and suspended for two months by FINRA. Ellis was formerly registered with Deutsche Bank Securities. Ellis allegedly executed six unauthorized trades in a deceased customer’s account.
Soreide Law Group, represents clients nationwide. If you or a family member have sustained investment losses because of your broker/financial advisor's recommendations, call a Securities Arbitration Lawyer for a free consultation on how to potentially recover those losses: 888-760-6552.
Contact Soreide Law Group for a Free Review of Your Potential Investment Loss Claim If your financial advisor recommended Creative Media & Community Trust (NASDAQ: CMCT) and you suffered substantial losses, you may have legal rights. A CMCT investment loss attorney can help you understand your options and pursue recovery. Many investors purchased CMCT believing […]
Soreide Law Group is investigating potential investor claims involving Cambridge Investment Research following a FINRA disciplinary action concerning Unit Investment Trust (UIT) recommendations. In April 2026, FINRA censured Cambridge Investment Research after finding supervisory deficiencies involving certain UIT recommendations made to retail clients. Investors who incurred excessive fees, unnecessary costs, or other damages associated with […]
Soreide Law Group is investigating potential investor claims involving Infinity Financial Services after FINRA sanctioned the firm for supervisory failures involving deferred variable annuity exchanges and recommendations. Investors who incurred surrender charges or other losses in connection with variable annuity transactions recommended through Infinity should review the allegations that led to FINRA's disciplinary action against […]
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