Securities Broker Robert Barnard Is Barred By FINRA And Is Facing Disputes From Principal Securities Clients Soreide Law Group comes to you with important information regarding securities broker and financial advisor Robert Barnard (CRD#: 5504882, Las Cruces, New Mexico). Notably, the Financial Industry Regulatory Authority (FINRA) barred Barnard to settle allegations that he violated FINRA […]

Transamerica Investors File Disputes About Barred Securities Broker Narinder Singh Soreide Law Group has important information to share with you regarding securities broker Narinder Kaur Singh (CRD#: 3100308, Sacramento, California). Evidently, Singh worked for Transamerica (2016), ProEquities (2016 to 2017) and Farmers Financial Solutions (2018 to 2019). According to a regulatory action dated August 28, […]

JAMES ROBERT REYNOLDS (also known as JIM REYNOLDS) CRD#: 4408485, who is currently registered as a broker and financial advisor with NORTHLAND SECURITIES, INC. and NORTHLAND ASSET MANAGEMENT in Minneapolis, Minnesota since 2002, and 2008 respectively, has had two customer complaints, according to his FINRA BrokerCheck  CRD report. In June of 2016, a customer dispute […]

FINRA Suspends Merrill Lynch Securities Broker Rawad Alame For Options Trading FINRA suspended Merrill Lynch securities broker Rawad Roy Alame (CRD#: 5376696, Raleigh, North Carolina) for a period of six months starting on January 4, 2021 and ending on July 3, 2021 to resolve allegations of his private securities transactions. Alame consented to the suspension […]

Investors File Disputes About Securities Broker Brandon Rudolph (Chelsea Financial, WealthForge Securities) Soreide Law Group gives you this update concerning securities broker and financial advisor Brandon Carl Rudolph (CRD#: 6379420, Las Vegas, Nevada). Evidently, Rudolph worked for WealthForge Securities LLC (2017) and Chelsea Financial Services (2014 to 2016). It appears that three investors disputed his […]

FINRA Suspends Questar Capital Corp Securities Broker Louis Olave, Who Also Faces Investor Disputes The following update concerning Questar Capital Corporation securities broker Louis Olave (CRD#: 5904834, Burlington, Vermont) comes to you by Soreide Law Group. Notably, FINRA sanctioned Olave in April 2021 based on allegations that he participated in private, unauthorized securities transactions that […]

STUART L PEARL (STU PEARL), was fined $5,000.00 and suspended for three months (7/6/2021 - 10/5/2021) by FINRA. Pearl was previously registered both as a broker and investment advisor.  He was last registered with David A. Noyes and Company of Indianapolis, Indiana from 07/10/2015 - 04/01/2019. On July 1, 2021, without admitting or denying FINRA’s […]

Stifel Nicolaus Broker Alex Perry Barred By FINRA, Facing Investor Disputes The Financial Industry Regulatory Authority (“FINRA”) barred Matthew Alexander “Alex” Perry (CRD#: 5985300, Columbia, Maryland). This means that he cannot work as a FINRA-member securities broker or otherwise associate with a FINRA-member brokerage firm. This decision is the result of an investigation by FINRA […]

Christian Murray Evans (Christian Evans), a representative previously registered both as a broker and as an investment advisor, has been suspended for three months and fined $5,000.00 by FINRA on July 16, 2021.  Evans was previously registered with Morgan Stanley of Dallas, Texas. Without admitting or denying FINRA’s findings, Christian Murray Evans consented to the […]