FINRA Suspends Securities Services Rep For Private Securities Transactions Peter D. Holler (CRD #838897, Bristol, Tennessee) who was a registered representative of Securities Services Network, Inc., consented to being fined $10,000 and suspended until May 20, 2020 from acting as a broker or associating with FINRA member broker-dealer firms pursuant to a Letter of Acceptance, […]

LELAND BLAIR WHITING (BLAIR WHITING) CRD#: 465663 formerly with HORNOR, TOWNSEND & KENT, INC. of SALT LAKE CITY, UTAH, was one of dozens of financial advisors, stockbrokers, financial planners and insurance agents who are being named in a lawsuit as part of an alleged investment fraud that allegedly cost more than 1,000 investors, many retirees, […]

Harold Couglar Barred From Trading Harold F. Couglar (CRD #1193367, San Diego, California) who was a registered representative of Montage Securities, LLC, consented to being barred by the Financial Industry Regulatory Authority (“FINRA”) from acting as a broker or associating with FINRA member broker-dealer firms pursuant to a Letter of Acceptance, Waiver and Consent (“AWC”) […]

Raymond James Sued George Edward Mathis (CRD #4271854, The Villages, Florida) has been a registered representative of Raymond James & Associates, Inc. since November 18, 2011. His activities between January 24, 2014 and September 30, 2016 – a time he was employed by Raymond James – resulted in a customer-initiated investment-related arbitration dated May 2, […]

Capitol Securities Management Fined For Failing To Supervise Trading In Unit Investment Trusts Capitol Securities Management, Inc. (CRD #14169, Glen Allen Virginia) consented to being censured by Financial Industry Regulatory Authority (“FINRA”) and paying a $100,000 fine pursuant to a Letter of Acceptance, Waiver and Consent (“AWC”) #2017052215401 that was executed on May 25, 2018. […]

BRIAN LAWRENCE STEPHAN (Brian L. Stephan) CRD#: 4222796, a broker from Ohio, was accused by the Financial Industry Regulatory Authority (FINRA) of recommending and causing the execution of unsuitable investments for an 88-year-old client. The FINRA complaint alleges that Brian L. Stephan recommended that the elderly client invest in mutual fund Class A shares in […]

Soreide Law Group has been contacted by investors who purchased the following stock through their stock brokers/financial advisors at Securities America Inc or other brokerages:  Ferrellgas Partners, L.P. (NYSE: FGP) Ferrellgas Partners, L.P. (FGP), through its operating partnership, and subsidiaries, serves propane customers in all 50 states, the District of Columbia, and Puerto Rico, and […]

DAVID JAY HOMAN (DAVE HOMAN) CRD#: 1516973, a former Wells Fargo Advisors financial advisor in Bay City, Michigan was arraigned in Bay County District Court on one count of embezzlement of between $50,000 and $100,000.  Homan is facing a felony charge which could lead to a 15-year prison sentence.  DAVE HOMAN is due to appear […]

Soreide Law Group is investigating claims involving Independent Financial Group, LLC (IFG) and its financial advisor, Wenjinn (James) Chang, out of the firm’s Rockville, Maryland office regarding recommendations to investors to purchase concentrated investments in AFIN. Mr. Chang has been registered with IFG since 2012. Mr. Chang was previously registered with Ameritas from 2004-2012, AXA […]