Florida-based Soreide Law Group obtained the following on from FINRA’s April 2018 Disciplinary Report on Florida broker: JODIE ANN LAMARRE (JODIE ANN GINGERICH, JODIE ANN LAMARRE MS) (CRD #2127928, Sarasota, Florida) LaMarre was assessed a deferred fine of $10,000 and suspended by FINRA for one year for allegedly recommending an unsuitable strategy involving the consolidation […]

Soreide Law Group, based in Florida, obtained the following information from FINRA’s April 2018 Disciplinary Report on Florida broker: Heather Xanthe VanLandingham (CRD #5343446, Odessa, Florida) was fined $5,000 and suspended by FINRA for 20 business days for allegedly effecting transactions in a client’s account at her member firm without the client’s knowledge or authorization. […]

LI-LIN HSU (YILIN HSU) CRD#: 4706509, a former Ameriprise Financial broker from Los Angeles, was arrested by the FBI last week on charges of federal fraud and money laundering. Hsu’s alleged scheme cost at least eleven of her former Ameriprise clients approximately $2 million. The U.S. Attorney’s office in the Central District of California said […]

Soreide Law Group, based in Pompano Beach, Florida, obtained the following information from FINRA’s April 2018 Disciplinary Report on the following South Florida broker:  Jimmy Oswald Moscoso (CRD #2912265, Boca Raton, Florida) was barred by FINRA for allegedly converting an elderly client’s funds. FINRA’s findings stated that the elderly client agreed to invest $20,000 in […]

Soreide Law Group, obtained the following information from FINRA’s April 2018 Disciplinary Report:  David Mitchell Elias (CRD #4209235, Parkland, Florida) was barred by FINRA for allegedly operating his member firm, DME SECURITIES in New York, NY, while it was in a net capital deficiency. FINRA’s findings stated that David Mitchell Elias was sole owner, control […]

Soreide Law Group, based in Pompano Beach, Florida, obtained the following information from FINRA’s April 2018 Disciplinary Report on the Florida firm:  GWN Securities Inc. (CRD #128929, Palm Beach Gardens, Florida) FINRA censured the firm, fined them $100,000, ordered them to pay $72,715.82, plus interest, in restitution to clients, and required GWN Securities to submit […]

SCOTT NEWSHOLME (CRD#: 3062837), a 43 year-old Farmingdale, New Jersey former broker, pleaded guilty on April 12, 2018 in federal court to wire fraud, aggravated identity theft and preparing fraudulent tax returns.  According to the US Attorney’s office, this pertains to a long-running scheme to defraud investment clients out of millions of dollars, forging an […]

Soreide Law Group has been filing claims on behalf of investors in the now defunct Hard Rock Exploration, Inc. Soreide Law Group has successfully sued brokerage firms for selling this now defunct oil and gas investment, and also Hard Rock Partners 2011-A L.P. drilling programs, and other Hard Rock sponsored offerings. Hard Rock Exploration’s lender, Huntington […]

Soreide Law Group has filed a FINRA arbitration on behalf of their clients (Claimants) against the firm: J.J.B. HILLIARD, W.L. LYONS, LLC (Respondent) The Claimants, are members of the same family, who all had John Dunn Gordinier II, (“Gordinier”), CRD# 2363965, a registered representative of HILLIARD LYONS, as their representative for all accounts at issue. […]