The following summation of information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2014.”
Keith Andrew Halsnik (CRD #5018189, Registered Representative, Bellefonte, Pennsylvania)
was barred from association with any FINRA member in any capacity. According to FINRA's findings, Keith Halsnik failed to respond to FINRA’s initial requests for information and documents as part of an inquiry regarding Halsnik allegedly engaged in excessive trading in his customer accounts.
FINRA's findings also said that Halsnik failed to respond to additional FINRA requests for information regarding mutual fund transactions in customer accounts.
(FINRA Case #2011029300801)
Keith Andrew Halsnik was previously registered with the following FINRA firm(s):
WOODBURY FINANCIAL SERVICES, INC. (CRD# 421) - BELLEFONTE, PA
11/2010 - 08/2011
EDWARD JONES (CRD# 250) - STATE COLLEGE, PA
01/2008 - 09/2010
WACHOVIA SECURITIES, LLC (CRD# 19616) - ASHEVILLE, NC
01/2008 - 01/2008
A. G. EDWARDS & SONS, INC. (CRD# 4) - ASHEVILLE, NC
11/2005 - 01/2008
This ends the summation of information from FINRA’s website.
Soreide Law Group represents clients nationwide in arbitrations before FINRA.
For a free consultation with an attorney on how to potentially recover your investment losses due to your broker/financial advisor’s recommendations call: 888-760-6552.
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
Every settled customer dispute on Peter Maller's BrokerCheck report names Lincoln Financial as the firm. Maller holds CRD number 2322403. The newest dispute, filed on March 5, 2024, settled on August 15, 2024 for $12,500 against alleged damages of $50,000. The claimants alleged that the representative represented an oil and gas investment as safe.
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