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June 19, 2013
Ocala, Florida Broker Fined and Suspended by FINRA

The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” Michael Corbett Milne (CRD #1842992, Registered Principal, Ocala, Florida) was fined $5,000 and suspended from association with any FINRA member in any capacity for 15 business days. Without admitting or denying the findings, Milne consented to the described sanctions and […]

June 19, 2013
Former LPL Financial Broker Fined and Suspended by FINRA

The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” Robert Ronald Liggero (CRD #4623608, Registered Representative, Atlantic Beach, Florida) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended from association with any FINRA member in any capacity for 20 business days. Without […]

June 19, 2013
Did You Invest in Liberty Silver Corp. (LBSV) with John Thomas Financial?

Soreide Law Group is investigating claims on behalf of John Thomas Financial investors that have suffered losses investing in Liberty Silver (LBSV). Please contact one of our securities attorneys at 888-760-6552 to discuss your rights. In late August, 2012, there was a flurry of trading activity in shares of Liberty Silver Corp., which had the […]

June 18, 2013
Penny Stock Company and Ceo Charged by SEC for Illegal Stock Offering and Insider Trading

On June 5, 2013, the Securities and Exchange Commission (SEC) charged that Laidlaw Energy Group was targeted in an SEC trading suspension involving questionable penny stocks, and also charged the CEO, Michael B. Bartoszek, who allegedly profited from selling his shares while investors were unaware of the company's financial struggles. According to Reuters, Laidlaw Energy […]

June 18, 2013
SEC Files Action Against Bridge Securities, LLC, Bridge Equity, LLC, Bridge Equity, Inc. and Fogfuels, Inc.

The Securities and Exchange Commission (SEC), filed an application with the United States District Court for the Northern District of Georgia on June 12, 2013, for an order to enforce investigative subpoenas that were served on Bridge Securities, LLC, Bridge Equity, LLC, Bridge Equity, Inc. and FOGFuels, Inc. of Atlanta, Georgia. All respondents are under […]

June 18, 2013
Blake Richards Charged with Misappropriation of Funds by the SEC

BLAKE BANCROFT RICHARDS (CRD #4051402) Blake Richards of Buford, Georgia, was charged by the Securities and Exchange Commission (SEC) with violations of the federal securities laws for misappropriating investor funds. In May, the SEC filed an emergency action seeking a temporary restraining order and other emergency relief in federal court against Richards. The SEC’s complaint […]

June 14, 2013
FINRA Warns Investors About ‘Alternative’ Funds

Recently, FINRA issued an alert regarding “alternative” funds. FINRA points out the key differences between “alternative” funds and the more conventional stocks and bonds. A few points from FINRA on alternative funds: Investment Structure: An alternative fund of funds may offer greater diversification than a single-strategy or even multi-strategy alt fund. At the same time, […]

June 14, 2013
Former LinkBroker Derivatives Broker Pleads Guilty to Fraud Conspiracy Charge

Benjamin Chouchane, (CRD# 4590169) a former broker for LinkBrokers Derivatives Corp., a unit of London-based ICAP Plc (IAP), pleaded guilty to making millions of dollars by lying about the prices of securities bought and sold for clients as reported in a recent article in Bloomberg Businessweek. Chouchane was arrested in October along with Marek Leszczynski […]

June 14, 2013
Robert Gist, Atlanta, Permanently Barred by FINRA

ROBERT GIST CRD# 716088 was permanently barred by FINRA for allegedly misappropriating millions dollars from 30 of his customers. This occurred, according to the FINRA report, from 2003 through 2011. Robert A. Gist, Atlanta, GA, allegedly told his clients that he would invest his clients' financial investments in securities positions. Instead of investing the money, […]

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