Broker William Herf Possibly Gave Bad Advice, Failed To Follow Instructions The investment loss recovery attorneys at Soreide Law Group provide you an update regarding troubled securities broker William Reilley Herf (CRD#: 2978220, Scottsdale, Arizona). Apparently, no less than three of Herf’s clients complained about his sales practices according to the broker’s Financial Industry Regulatory […]

GERALD ALLAN EATON (GERALD EATON) CRD#: 2279093, a former financial advisor with COMMONWEALTH FINANCIAL NETWORK of Acton, Massachusetts, who was barred by FINRA in November of 2019, and the SEC in September of 2020, pleaded guilty to stealing from over 20 clients, more than $3.7 million, over a ten year period. According to the US […]

Securities Broker Bill Baumner Accused By Clients Of Negligence, Breach Of Fiduciary Duty Soreide Law Group is closely reviewing possible investor claims against securities broker William “Bill” Louis Baumner IV (CRD#: 2298690, Boca Raton, Florida). Baumner spent 2010 to 2017 at Buckman, Buckman Reid, who disaffiliated with him for not following company policy on client […]

MassMutual's Caleb Jamison Facing FINRA Suspension The Financial Industry Regulatory Authority (“FINRA”) has issued a suspension and fine to securities broker Caleb A. Jamison (CRD#: 5645954, Little Rock, Arkansas) Not only that, but MassMutual terminated the securities broker for allegedly failing to tell his securities firm about outside business activities. FINRA Suspends, Fines Caleb Jamison […]

Securities Broker Martin Noonan Expelled As Broker For Avoiding FINRA Investigators The Financial Industry Regulatory Authority (“FINRA”) barred securities broker Martin Joseph Noonan Jr. (CRD#: 2982159, El Segundo, California) for violating FINRA rules. In addition, the financial industry watchdog reports that an investor complained about the securities broker, who worked for Equibond from 2002 to […]

Soreide Law Group, a Florida-based law firm, has filed a FINRA arbitration on behalf of their client (Claimant) against: SUMMIT BROKERAGE SERVICES INC (Respondent). The Claimant, an 89 year-old widow living in Florida, brings this lawsuit to recover her investment losses. The lawsuit claims, SUMMIT BROKERAGE SERVICES INC and its registered representative, Norman Robbins, allegedly […]

CORBIN LINDSAY LAMBERT (CORBIN LAMBERT) CRD#: 3191042, the former CEO of Continuum Financial, from Omaha, Nebraska, was charged by the Securities and Exchange Commission (SEC) with allegedly conducting a cherry-picking scheme that defrauded his clients. The SEC’s complaint was filed in the U.S. District Court for the District of Nebraska, charging Lambert with violating the […]

Securities America Client Brings Lawsuit Over Jaime Westenbarger's Purported Negligence Investor Alert! Clients of securities broker Jaime Michael Westenbarger (CRD#: 4625703, Grand Rapids, Michigan) have sued because of Westenbarger’s sales practices. Notably, Financial Industry Regulatory Authority (FINRA) shows that a whopping 8 investors brought disputes about the securities broker, who worked for firms including First […]

Spartan Broker Joseph Fuller Allegedly Sold Unsuitable Investments Investor Alert! The Financial Industry Regulatory Authority (FINRA) reports troubling allegations of misconduct by securities broker Joseph Patrick Fuller (CRD#: 5277097, New York, New York). Notably, two of Fuller’s employers parted ways with him for his bad behavior. Not only that, but two clients brought complaints about […]