Soreide Law Group Representing Potential Victims Of Northstar Bermuda Soreide Law Group is reviewing potential investor claims to bring against financial advisors and securities brokers who possibly gave unsuitable advice or committed other sales practice violations relating to Northstar Financial (Bermuda) Ltd. investment products. Let’s take a closer look at Northstar, including how Soreide Law […]

Broker Ronald Daley (WS Brokerage Services, WS Life) Barred By FINRA Following Investigation The Financial Industry Regulatory Authority (“FINRA”) reports new information regarding securities broker Ronald Scott Daley (CRD#: 4682165, West Chester, Ohio). Specifically, Daley, who worked for securities firm WS Brokerage Services from January 2009 to August 2021, agreed to be barred indefinitely as […]

The Financial Industry Regulatory Authority (FINRA) has censured and fined, Advisor Group subsidiary, Triad Advisors, over $700,000 for alleged recommendations of an alternative mutual fund, LJM Preservation & Growth Fund (LJM), that allegedly cost clients hundreds of thousands of dollars in financial losses, according to a recent article in Financial Advisor IQ. According to FINRA, […]

JEFFREY L SLOTHOWER (JEFFREY LEONARD SLOTHOWER) CRD#: 3064787, a former financial advisor and broker, previously registered with Merrill Lynch in New York, was arrested in Southampton, New York, and charged with wire fraud, investment advisor fraud and money laundering.  After leaving Merrill Lynch,  Slothower started his own advisory firm, Battery Private. Allegedly, Slothower was involved […]

Soreide Law Group obtained the following information from FINRA's December 2021 Disciplinary Report. William A Fochi Jr (BILL FOCHI JR, WILLIAM A FOCHI) (CRD #1773450, Hebron, Connecticut) On October 6, 2021, an Acceptance, Waiver and Consent (AWC) was issued in which William A Fochi Jr was fined $10,000 and suspended from association with any FINRA […]

The following information is from FINRA’s December 2021 Disciplinary report: Glenn Edward Brandon Jr (CRD #1051682, Birmingham, Alabama) On October 15, 2021, an Acceptance, Waiver and Consent (AWC) was issued in which Glenn Edward Brandon Jr was barred from association with any FINRA member in all capacities. Without admitting or denying FINRA’s findings, Glenn Edward […]

Soreide Law Group obtained the following from FINRA’s website under, “Disciplinary and Other FINRA Actions,” December 2021. EDGAR A KLEYDMAN (CRD #2727571, Staten Island, New York) On October 14, 2021, an Acceptance, Waiver and Consent (AWC) was issued in which EDGAR A KLEYDMAN was barred from association with any FINRA member in all capacities. Without […]

Soreide Law Group obtained the following information from FINRA’s Disciplinary report from December of 2021. Adam Gerard Belardino (CRD #5221927, Scarsdale, New York) On October 5, 2021, an OHO decision became final in which Adam Gerard Belardino was barred from association with any FINRA member in all capacities. The sanction was based on findings that […]

Cetera Advisor Networks Discharges Kirk Knollman Over Discretionary Trading Allegations The Financial Industry Regulatory Authority (FINRA) contains important disclosures concerning securities broker Kirk William Knollman (CRD#: 2089445, Loveland, Ohio). Notably, Cetera Advisor Networks LLC discharged him as a securities broker. Also, two investor disputes allege unsuitable trading. One concerns Knollman’s actions at Cetera, while the […]