John V. Heath Pleads Guilty to Theft From Elderly Client with Alzheimer’s
Former financial advisor, JOHN V. HEATH (CRD# 2331052), 45 years-old, from Edina, Minnesota, pleaded guilty this week to identity theft. [...]
Investment Professionals Inc. (IPI) Fined and Censured by FINRA
Recently, the Financial Industry Regulatory Authority (FINRA) censured and fined Investment Professionals Inc. (IPI) $170,000, for allegedly failing to supervise [...]
Laidlaw & Company (UK) LTD. Fined and Censured by FINRA and Ordered to Pay Restitution to Customers
Soreide Law Group obtained the following information on FINRA’s website from the September 2016, disciplinary report: Laidlaw & Company (UK) [...]
David C. Cannata Barred by FINRA and Ordered to Pay Restitution Over $1,500,000
Soreide Law Group obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions, September 2016.” David C. [...]
Douglas W. Studer, Ft. Lauderdale Barred by FINRA Named in 91 Year-Old Client’s Will
Former broker DOUGLAS W. STUDER (CRD# 4440047) Alternate Names: DOUG STUDER has been barred recently by FINRA for refusing to [...]
Jorge Gutierrez Gomez formerly of Wells Fargo Miami Fined and Suspended by FINRA
The Soreide Law Group, obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions, September 2016.” Jorge [...]
Former Broker with LADENBURG THALMANN & CO of Boca Raton, Elliot Harris, Barred by FINRA
The Florida-based, Soreide Law Group, obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions, September 2016.” [...]
Former RBC West Palm Beach Broker, Paul V. Blum, Investigated
The Soreide Law Group is investigating former RBC of West Palm Beach broker, PAUL V. BLUM (CRD# 735003). This investigation [...]
Indiana Financial Advisor, ADAM D. ESTES, Fined and Suspended by FINRA
In August, FINRA suspended top producing advisor, ADAM D. ESTES (CRD# 4089657), of Hilliard Lyons, Bloomington, Indiana, for 15 months, [...]
K.C. Ward Broker Charged with Unauthorized and Unsuitable Trades by FINRA
The Financial Industry Regulatory Authority (FINRA) accused a New York broker with K. C. Ward Financial of Long Island, with [...]
Broker Commits Suicide After Being Charged with Fraud and Forgery
JEROME P. BONNETT JR (CRD# 2143822) (JEROME "JOE" BONNETT JR, JEROME PATRICK BONNETT, JR.) 51 years-old, from Omaha, Nebraska, killed [...]
Soreide Law Group Files FINRA Arbitration Against FIRST DALLAS SECURITIES INC and Broker, GARY M. BRADSHAW
The Soreide Law Group recently filed a FINRA arbitration on behalf of their client (Claimant) against FIRST DALLAS SECURITIES INCORPORATED [...]
Two Boca Raton Firms Fined by FINRA
The Pompano Beach, Florida-based Soreide Law Group obtained the following information from the Financial Industry Regulatory Authority (FINRA) regarding two [...]
Caldwell International Securities Corp. Fined $2 Million by FINRA Over ‘Churning’ Charges
According to the Financial Industry Regulatory Authority Inc. (FINRA), Caldwell International Securities Corp. (CISC), a Texas wealth management firm, will [...]
FINRA Files Complaint Against CHRISTOPHER B. ARIOLA For Alleged Over-Concentration of Elderly Clients in Energy and Gold Stocks
The Financial Industry Regulatory Authority Inc. (FINRA) filed a complaint August 25th. 2016, against ex-broker, CHRISTOPHER B. ARIOLA (CRD# 2957096) [...]
Ampio Pharmaceuticals AMPE Stock Loss Claims
Ampio Pharmaceuticals AMPE Stock Losses Soreide Law Group is investigating potential claims versus Aegis Capital Corp regarding its sale [...]
Clearwater Broker, DENNIS M. MERRITT Suspended by FINRA Over Private Securities Transactions
The Pompano Beach, Florida-based Soreide Law Group obtained the following information on FINRA’s website under, “Disciplinary and Other FINRA Actions, [...]
Miami’s Morgan Stanley’s, Armando Fernandez, Fined and Suspended by FINRA
The Florida-based Soreide Law Group obtained the following information on FINRA’s website under, “Disciplinary and Other FINRA Actions, August 2016.” [...]
Former LPL Financial Broker, Sonia Giannetti, Fined and Suspended by FINRA
Florida-based Soreide Law Group obtained the following information on FINRA’s website under, “Disciplinary and Other FINRA Actions, August 2016.” Sonia [...]
Boca Raton Brokerage, Newbridge Securities Corporation, Censured and Fined by FINRA
The Florida-based Soreide Law Group obtained the following information on FINRA’s website under, “Disciplinary and Other FINRA Actions, August 2016.” [...]