The Securities and Exchange Commission filed a complaint, February 21, 2014, in the U.S. District Court for the Southern District of Ohio, alleging Charles P. O'Brien, from 1998 - 2008, engaged in a fraudulent scheme to misappropriate money from his client--over $298,000. The complaint alleged O'Brien had issued checks in the client's name from the client's account, had them sent to a a post office box that he controlled, and then deposited the checks into the bank account in the client's name. Allegedly, O'Brien withdrew money from his client's bank account, and used the money for personal expenses.
O'Brien has agreed to settle the charges, without admitting or denying the allegations in the Commission's complaint.
If you have experienced losses due to your stock broker/financial advisor’s recommendations, or feel your funds may have been misappropriated by your broker, call Soreide Law Group for a free consultation with an attorney on how to potentially recover your losses: 888-760-6552.
YOUSSEF A ZOHNY has been registered both as an investment advisor and a broker with MORGAN STANLEY of San Francisco, California. He has held this registration since March of 2017. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, YOUSSEF A ZOHNY has been in the securities industry for 9 years. He has […]
William Kershaw was permanently barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm with a start date of 5/15/2026. William Kershaw was registered as a broker with NYLIFE SECURITIES LLC of Charlotte, North Carolina from 12/16/2024 - 07/17/2025. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, […]
Michael S Barrows (Michael Scott Barrows) has been suspended by FINRA indefinitely with the start date of 3/27/2026. The Regulator’s Statement was, “Pursuant to FINRA Rule 9553, Respondent Barrows' registration with FINRA is suspended on March 27, 2026, for failure to pay arbitration fees.” Barrows is registered as a broker with INNOVATION PARTNERS LLC of […]
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