Soreide Law Group, PLLC, a Securities Arbitration Law Firm, (888) 760-6552, found the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, March, 2013.”
Robert Keith Brooks aka Robert Keith Stuart (CRD #1571789, Registered Principal, Miami, Florida)
was fined $7,500 and suspended from association with any FINRA member in any capacity for two months. Without admitting or denying the findings, Brooks consented to the described sanctions and to the entry of findings that he commingled his personal funds with investors’ funds for an oil-and-gas offering he solicited through a private placement memorandum.
Brooks raised $87,633.50, which he deposited into a bank account designated as an operating account for the oil-and-gas project. Brooks used the account to pay expenses related to the oil-and-gas project. During the same time period, Brooks deposited $8,912.50 of his personal funds into the bank account where the investors’ funds were deposited, thus commingling the funds.
The suspension is in effect from February 4, 2013, through April 3, 2013.
(FINRA Case #2011030168001)
The following information is from FINRA's BrokerCheck:
Brooks is currently employed by and registered with the following FINRA Firm(s):
FREEDOM INVESTORS CORP.
333 BISHOPS WAY, STE 122
BROOKFIELD, WI 53005
CRD# 23714
Registered with this firm since: 1/20/2012
This broker was previously registered with FINRA at the following brokerage firms:
EZ STOCKS, INC.
CRD# 103866
BROOKFIELD, WI
02/2011 - 06/2012
RICHFIELD ORION INTERNATIONAL, INC.
CRD# 24433
MIAMI, FL
07/2008 - 02/2009
SOURCE CAPITAL GROUP, INC.
CRD# 36719
MIAMI, FL
08/2007 - 05/2008
This ends the information from the FINRA website.
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