Soreide Law Group obtained the following information from FINRA’s Disciplinary Actions, August of 2021. JTA Securities Management, Inc., dba Titan Securities (CRD® #131392, Addison, Texas) and Brad Curtis Brooks (CRD #1584633, Frisco, Texas) According to the FINRA report, on June 29, 2021, JTA Securities Management, Inc., dba Titan Securities (the firm) and Brad Curtis Brooks […]

FINRA Issues Sanction To Securities Broker Enoch Booth It appears that FINRA barred securities broker Enoch Stanley Booth (CRD#: 4370233, Columbia, South Carolina). Evidently, the financial industry watchdog decided on July 20, 2021 to bar Booth as securities broker. This is for his alleged failure to provide documents to FINRA throughout its investigation that focused […]

Securities Broker Doug Hyer (First Allied Securities) Involved In Investor Dispute New information is reported on BrokerCheck as it relates to securities broker Douglas “Doug” Keith Hyer (CRD#: 254358, Great Neck, New York). Specifically, FINRA reports that four investors filed disputes about the securities broker, and these concern Hyer’s actions at various institutions where he […]

Securities Broker John Loofbourrow Faces FINRA Sanctions, Investor Dispute Soreide Law Group is reviewing potential investor claims against securities broker John Wade Loofbourrow (CRD#: 312494, New York, New York). It appears on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck that Loofbourrow is involved in an investor dispute regarding a private placement sale. Not only that, but […]

The following information was obtained on FINRA’s website, available to the public, under “Disciplinary and Other FINRA Actions - August 2021.” Robert A Lax (CRD #1985758, Warwick, New York) On June 14, 2021, an Acceptance, Waiver and Consent (AWC) was issued in which Robert A Lax was barred from association with any FINRA member in […]

Securities Broker Brittney Sias (Western International Securities) Involved In Investor Disputes Soreide Law Group has news to share with you in regard to securities broker Brittney Jade Sias (CRD#: 4274432, Westlake Village, California), who also goes by the name Rosalie Sias. Notably, Financial Industry Regulatory Authority (“FINRA”) shows that two investors filed disputes about the […]

TRAVIS J LIPPMANN (TRAVIS JUSTIN LIPPMANN) CRD#: 5908823, currently of JOSEPH STONE CAPITAL L.L.C. of New York, NY., according to FINRA’s BrokerCheck which is available to the public on FINRA’s website, has 3 disclosures on his FINRA CRD report.  All three of the disclosures are “Customer Disputes.”  The customer dispute filed in 2017 was denied.  […]

Securities Broker Mitchell Silverman Facing Disputes From Raymond James Clients Soreide Law Group has new information to share with you in regard to securities broker Mitchell Louis Silverman (CRD#: 500504, Boca Raton, Florida). Notably, the Financial Industry Regulatory Authority (FINRA) shows that six investors filed investment disputes about the securities broker, who worked for securities […]

Soreide Law Group obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions – August 2021.” Scott S Niekamp (CRD #3277810, Wildwood, Missouri) On June 9, 2021, an AWC was issued in which Scott S Niekamp was fined $10,000 and suspended from association with any FINRA member in all capacities for three […]