Park Avenue Securites Censured and Fined $300K by FINRA
Soreide Law Group obtained the following information on FINRA’s website under, “Disciplinary and Other FINRA Actions, June 2018.” Soreide [...]
Hector May, Formerly of Securities America, Accused in Alleged Ponzi Scheme
HECTOR ANTHONY MAY (HECTOR A MAY) CRD#: 323779, a 77 year-old financial advisor from Orangeburg, New York, has been accused [...]
Former MORGAN STANLEY Broker, CORNELIUS PETERSON Sentenced
CORNELIUS PETERSON (CRD#: 5769919) a former MORGAN STANLEY of Boston financial advisor, was sentenced by a federal judge in [...]
Soreide Law Group Files FINRA Arbitration Against AMERITAS INVESTMENT CORP.
Soreide Law Group has filed a FINRA arbitration on behalf of their clients (Claimants) against: AMERITAS INVESTMENT CORP. (Respondent) [...]
Vincent Santoro, formerly with State Farm VP Management of Lake Mary, Florida, Barred by FINRA
Soreide Law Group, based in Florida, obtained the following information from the June 2018 FINRA Disciplinary Report, available to [...]
BRADLEY EVERETT GARDNER, Formerly with LPL Financial, Barred by FINRA
BRADLEY EVERETT GARDNER (CRD#: 4423724) an advisor formerly with LPL Financial in Fort Bragg, California, has been barred by [...]
Payson Petroleum Investment Losses?
ATTENTION PAYSON PETROLEUM INVESTORS – CALL Our Securities Lawyers if You’ve Invested with Payson Petroleum, Payson Operating, or any [...]
Former U.S. BANCORP INVESTMENTS Broker, JOHN DOUGLAS WADE Barred by FINRA
JOHN DOUGLAS WADE (JOHN D WADE) CRD#: 4486552, of Buena Park, California , a former U.S. Bancorp Investments broker, [...]
Donnell Noah Bowen, Formerly with Northwestern Mutual Washington DC, Barred by FINRA
Donnell Noah Bowen CRD#: 5641822 has been barred by the Financial Industry Regulatory Authority Inc. (FINRA) from acting as [...]
MARK J GILLIS Sentenced for Defrauding Clients $400K
MARK JOSEPH GILLIS (MARK J GILLIS) CRD#: 2381496, 48 years-old from Saranac Lake, New York, was sentenced to time [...]
Four Brokers Barred By FINRA
The following four registered representatives were barred from acting as a broker or otherwise associating with a broker-dealer firm [...]
STEVEN PAGARTANIS, Formerly with Cadaret Grant in Setauket, New York Charged with $8 Million Scheme
STEVEN PAGARTANIS (STEVE PAGARTANIS) CRD#: 1958879, a 58 year-old former financial advisor was charged with two counts of first-degree [...]
Frank Bazan, Formerly with BBVA Securities of Houston, Fined and Suspended by FINRA
Soreide Law Group obtained the following information on FINRA’s website from the May 2018 Disciplinary Report. Frank Bazan (CRD [...]
Howard Price III, Formerly with AXA Advisors Charged in $475K Theft from Retirement Accounts
HOWARD MILTON PRICE III (HOWARD PRICE) CRD#: 4650960, a 44 year old broker, formerly with AXA Advisors in Scottsdale, [...]
Soreide Law Group Files FINRA Arbitration Against NATIONAL SECURITES CORPORATION
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against NATIONAL SECURITIES CORPORATION (Respondent). [...]
Florida Broker, Craig Dean Blattner, Formerly with Certera Advisors Fined and Suspended by FINRA
Soreide Law Group, based in Florida, obtained the following information on this Florida broker from FINRA’s website under, “Disciplinary [...]
Ricardo Alfredo Estrada, Formerly with MML Investors Services of Miami, Fined and Suspended by FINRA
Soreide Law Group, based in South Florida, obtained the following information from FINRA’s May 2018 Disciplinary Report. Ricardo Alfredo [...]
David Warren Olson, Formerly with Mogan Stanley St. Petersburg, FL, Barred by FINRA
Soreide Law Group, based in Florida, obtained the following information from the May 2018 Disciplinary Report on FINRA’s website [...]
Did You Experience Stock Losses in Gemphire Therapeutics Inc. (GEMP) Sold by Laidlaw?
Soreide Law Group has been contacted by investors who purchased Gemphire Therapeutics Inc. (GEMP) and experienced stock losses through [...]
Did You Purchase Onconova Therapeutics, Inc. (ONTX) through Laidlaw and Company?
Soreide Law Group has been contacted by clients who purchased Onconova Therapeutics, Inc. (ONTX) and experienced significant stock losses [...]