V CULLEN KEMPSON III Fined and Suspended by FINRA for Alleged Trading in Deceased Client’s Accounts
Soreide Law Group obtained the following from the July 2017 FINRA Disciplinary Report: V CULLEN KEMPSON III (aka V [...]
Edward Thomas McFarlane Fined and Suspended by FINRA Over Non-Traditional ETF Sales
Soreide Law Group obtained the following information from FINRA’s Disciplinary Report from July 2017: Edward Thomas McFarlane (CRD #2492335, [...]
KCD Financial Censured and Fined by the SEC
Soreide Law Group obtained the following information on FINRA’s website: KCD Financial, Inc. (CRD #127473, Green Bay, Wisconsin) On [...]
Did Your Broker Recommend the High-Risk Leveraged ETF, ProShares Ultra VIX Short-Term Futures (UVXY)?
Did your broker/financial advisor recommend this high-risk leveraged ETF for your otherwise conservative or moderate portfolio? ProShares Ultra VIX [...]
Anthony Joseph Verzi, Former Morgan Stanley Broker of Melbourne, Florida, Barred by FINRA
The Financial Industry Regulatory Authority Inc. (FINRA) has barred ANTHONY JOSEPH VERZI (TONY VERZI) CRD#: 1186572 from acting as [...]
Former Ohio Ameriprise Broker, Mark F Speakman, Sentenced in $1.1 Million Fraud
MARK FRANCIS SPEAKMAN CRD#: 2693667, a 60 year-old financial advisor from Grove City, Ohio, was sentenced in U.S. District [...]
FINRA Orders Northeast Securities Inc to Pay $1.76 Million to Client
A Financial Industry Regulatory Authority Inc. (FINRA) arbitration panel has awarded a former client (Claimant) of Northeast Securities Inc., [...]
Former AMERITAS broker ABIDA KHAN Found Guilty in VGTel Stock Scam
SHEIK FIRDOSH KHAN CRD#: 2448117 (aka ABIDA KHAN) was recently found guilty of securities and investment advisor fraud. The [...]
Former PFS INVESTMENTS of RAPID CITY, SD broker, MIKE LUNDY, Sentenced in $4.2 Million Ponzi Scheme
BARKLEY JW LUNDY JR, (also known as MIKE LUNDY JR, or MIKE LUNDY, CRD#: 2260127) a Rapid City, South [...]
Broker from NEWBRIDGE SECURITIES CORPORATION of BOCA RATON Sentenced in the Forcefield Energy (FNRG) Stock Manipulation
Soreide Law Group, located in Pompano Beach, Florida, has filed a lawsuit against NEWBRIDGE SECURITIES CORPORATION of BOCA RATON, [...]
Soreide Law Suit Files FINRA Arbitration Against Broker WILLIAM C GENNITY and FIRST STANDARD FINANCIAL
Soreide Law Group has filed a FINRA arbitration on behalf of their client (“Claimant”) against FIRST STANDARD FINANCIAL COMPANY, [...]
Swift Energy Company Bankruptcy Investment Loss Recovery
Swift Energy Company Bankruptcy Investment Loss Recovery We are investigating investor losses in Swift Energy Company. If this [...]
Were You a Client of Former Ameriprise Financial Arizona Broker, STEPHEN P MOSLEY?
STEPHEN PAUL MOSLEY (S. PAUL MOSLEY, STEPHEN P MOSLEY) CRD#: 4900781 formerly with Ameriprise Financial of Lake Havasu, Arizona, [...]
Former New Jersey IFS Securities Broker, RICHARD G CODY, Charged by SEC with Defrauding Retired Clients
RRICHARD GRANT CODY (RICHARD G CODY) CRD#: 2794558, a New Jersey financial advisor, has been charged with defrauding his [...]
Did Your Broker Recommend Quicksilver (KWK) Oil and Gas Stock?
Soreide Law Group is investigating broker/dealers who sold, the now bankrupt, Quick Silver oil and gas stock to their [...]
Samson Resources Corporation Bankruptcy Investor Recovery
Samson Resources Corporation Bankruptcy Investor Recovery Samson Resources Corporation filed for bankruptcy on September 16, 2015. Soreide Law [...]
Former Miami Axa Advisors Broker, Leon E Dixon, Suspended by FINRA
Soreide Law Group, based in South Florida, obtained the following information from FINRA’s Disciplinary Report June 2017 on South [...]
William C. Webb, Formerly with Raymond James of Panama City, Florida, Suspended by FINRA
Soreide Law Group, based in Florida, obtained the following from FINRA’s June 2017 Disciplinary Report regarding Florida broker: WILLIAM [...]
Former Independent Financial Group Broker, Bernard G. McGee, Barred by FINRA and Ordered to Pay Over $200K in Restitution
Soreide Law Group obtained the following from FINRA’s June 2017 Disciplinary Report: Bernard G. McGee (CRD #1203327, Cazenovia, New [...]
Former UBS Ohio Broker, Ronald Dale Broadstone, Barred by FINRA
Soreide Law Group obtained the following from FINRA’s website under, “Discipline and Other FINRA Actions June 2017.” Ronald Dale [...]