FSC Securities Clients Take Aim At Frank Briseno For Bad REITs FINRA discloses troubling information in regard to securities broker Frank Briseno (CRD#: 1177246, Metairie, Louisiana). Notably, the regulator indicates that Briseno has been targeted by at least three investors in disputes about his sales practices. It seems that Briseno might have caused clients' losses […]

FINRA Charges Broker Jim Flower With Churning, Excessively Trading The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of misconduct by securities broker Jim Flower (CRD#: 2817701, Garden City, New York). Notably, FINRA filed an enforcement action against Flower for alleged sales practice violations including unsuitable recommendations and churning. Not only that, but at least […]

Soreide Law Group, a Florida-based law firm, obtained the following information on FINRA’s website under, “Disciplinary and Other FINRA Actions, September 2020.” The following former broker was previously registered with Fortune Financial Services, Inc. of St. Petersburg, Florida: Jean Connell Hicks (CRD #1005922, St. Petersburg, Florida). On July 14, 2020, FINRA barred Jean Connell Hicks […]

Broker Brian Roth Reportedly Breached A Fiduciary Duty To Investors And Made Bad Investment Recommendations The investment loss lawyers at Soreide Law Group provide you this investor alert in regard to problem securities broker Brian Robert Roth (CRD#: 4607595, Chester, New Jersey). Apparently, no less than three investors filed disputes about the securities broker, who […]

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 […]