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John V. Heath Pleads Guilty to Theft From Elderly Client with Alzheimer’s

September 28th, 2016|

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

September 28th, 2016|

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

September 26th, 2016|

Soreide Law Group obtained the following information on FINRA’s website from the September 2016, disciplinary report: Laidlaw & Company (UK) [...]

Douglas W. Studer, Ft. Lauderdale Barred by FINRA Named in 91 Year-Old Client’s Will

September 21st, 2016|

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

September 21st, 2016|

The Soreide Law Group, obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions, September 2016.” Jorge [...]

Former RBC West Palm Beach Broker, Paul V. Blum, Investigated

September 19th, 2016|

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

September 13th, 2016|

In August, FINRA suspended top producing advisor, ADAM D. ESTES (CRD# 4089657), of Hilliard Lyons, Bloomington, Indiana, for 15 months, [...]

Broker Commits Suicide After Being Charged with Fraud and Forgery

September 7th, 2016|

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

September 6th, 2016|

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

September 2nd, 2016|

The Pompano Beach, Florida-based Soreide Law Group obtained the following information from the Financial Industry Regulatory Authority (FINRA) regarding two [...]

FINRA Files Complaint Against CHRISTOPHER B. ARIOLA For Alleged Over-Concentration of Elderly Clients in Energy and Gold Stocks

September 1st, 2016|

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

August 30th, 2016|

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

August 22nd, 2016|

The Pompano Beach, Florida-based Soreide Law Group obtained the following information on FINRA’s website under, “Disciplinary and Other FINRA Actions, [...]

Former LPL Financial Broker, Sonia Giannetti, Fined and Suspended by FINRA

August 19th, 2016|

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

August 18th, 2016|

The Florida-based Soreide Law Group obtained the following information on FINRA’s website under, “Disciplinary and Other FINRA Actions, August 2016.” [...]