The South Florida-based Soreide Law Group, obtained the following FINRA issued complaint from the January, 2018, Disciplinary Report. Issuance of a disciplinary complaint represents FINRA’s initiation of a formal proceeding in which findings as to the allegations in the complaint have not been made, and does not represent a decision as to any of the […]

MATTHEW EARL PEREGOY (MATT PEREGOY) CRD#: 2430960   was barred by FINRA on January 16, 2018.  Without admitting or denying the findings, MATTHEW EARL PEREGOY consented to the sanction and to the entry of findings that he did not produce FINRA requested information related to its investigation into potential misuse of funds and failure to […]

MATTHEW DONALD KERBY (CRD#: 5381195)   was barred by FINRA on January 16, 2018. Without admitting or denying the findings, MATTHEW DONALD KERBY consented to the sanction and to the entry of findings that he refused to provide FINRA requested information and documents related to its investigation into the allegations that he converted his elderly […]

Soreide Law Group, based in South Florida, obtained the following report from FINRA’s January 2018, "Disciplinary and Other FINRA Actions," Report on Miami firm: Brickell Global Markets, Inc. (CRD #104316, Miami, Florida) Brickell Global Markets was censured and fined $15,000 by FINRA for allegedly conducting a securities business while failing to maintain its required minimum […]

On January 5, 2018, FINRA barred LARRY MARTIN BOGGS (LARRY M. BOGGS) CRD#: 1582741) for alleged excessive and unsuitable trading in the accounts of five elderly clients. FINRA stated that Boggs also allegedly exercised improper discretion in the elderly clients’ accounts without written authorization in 2014 and 2015 when employed as a broker at Ameriprise […]

Soreide Law Group has filed a FINRA arbitration on behalf of their clients (Claimants) against: UBS FINANCIAL SERVICES, INC. (Respondent) The Claimants are a retired couple who allege they had advised their financial advisor, Erik Littlejohn, who at the time was working for UBS Financial Services, that they wanted income producing investments, but did not […]

Soreide Law Group obtained the following information from FINRA’s December 2017 Disciplinary Report. CHERYLE ANNE BRADY (CHERYLE ANNE TIMMONS) (CRD #2226003, Marshfield, Massachusetts) was assessed a deferred fine of $7,500 and suspended by FINRA for six months for allegedly falsely stating to her member firm that she had contacted clients prior to trades being placed.R […]

Soreide Law Group obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions, December 2017.”  Scott Jason Wallach (CRD #3108314, Glen Rock, New Jersey)  was fined $5,000, suspended by FINRA for one month and ordered to pay $873.59, plus interest, in disgorgement of commissions received for allegedly effecting five unauthorized trades in […]

JOHN M JAMES (JOHN JAMES) CRD#: 4609872 has been barred by the Financial Industry Regulatory Authority Inc. (FINRA) for allegedly not appearing at a FINRA hearing regarding activities that included borrowing money from clients. Merrill Lynch filed a Form U5 in 2016 which reported that JOHN M JAMES resigned while he was under internal review […]