Soreide Law Group, based in Florida, obtained the following information from the June 2018 FINRA Disciplinary Report, available to the public on FINRA’s website.  Vincent Santoro (CRD #3006826, Lake Mary, Florida)  was barred by FINRA all capacities for allegedly refusing to appear for a FINRA on-the-record testimony in connection with an investigation into allegations regarding […]

BRADLEY EVERETT GARDNER (CRD#: 4423724) an advisor formerly with LPL Financial in Fort Bragg, California, has been barred by FINRA from acting as a broker or otherwise associating with a broker-dealer firm, following allegations of misappropriating $7,400 from an elderly client. According to FINRA, Gardner allegedly accepted a $7,400 personal check from the elderly client […]

ATTENTION PAYSON PETROLEUM INVESTORS – CALL Our Securities Lawyers if You’ve Invested with Payson Petroleum, Payson Operating, or any of Their Private Placements If you have invested in any of Payson Petroleum/Payson Operating’s private placements, including the 3 Well Programs, contact our securities lawyers for a free consultation.  Our lawyers have recovered tens of millions […]

JOHN DOUGLAS WADE (JOHN D WADE) CRD#: 4486552, of Buena Park, California , a former U.S. Bancorp Investments broker, was barred by the Financial Industry Regulatory Authority Inc. (FINRA) from acting as a broker or otherwise associating with a broker-dealer firm following allegations of converting more than $200,000 from clients' accounts for his own personal […]

Donnell Noah Bowen CRD#: 5641822 has been barred by the Financial Industry Regulatory Authority Inc.  (FINRA) from acting as a broker or otherwise associating with a broker-dealer firm. FINRA barred Bowen, formerly a representative with Northwestern Mutual in Washington D.C., for failing to provide requested information and for failing to appear at FINRA hearing. Bowen […]

MARK JOSEPH GILLIS (MARK J GILLIS) CRD#: 2381496, 48 years-old from Saranac Lake, New York, was sentenced to time served and a year of home detention for defrauding clients of his brokerage firm out of nearly $400,000. Gillis was ordered by the Senior U.S. District Judge to forfeit $379,562 and to pay $226,500 in restitution […]

The following four registered representatives were barred from acting as a broker or otherwise associating with a broker-dealer firm by FINRA in May of 2018 for allegedly failing to cooperate with FINRA investigations: LEONA LYNN PARSONS (LEONA PARSONS) CRD#: 6164352  AMY ELIZABETH PESINA (AMY ELIZABETH O'CONNOR) CRD#: 6503149   DALLAS RICHARDSON YORK (DALLAS YORK) CRD#: […]

STEVEN PAGARTANIS (STEVE PAGARTANIS) CRD#: 1958879, a 58 year-old former financial advisor was charged with two counts of first-degree larceny and two counts of second-degree larceny by the Suffolk County, New York prosecutors. A separate action was filed by the Securities and Exchange Commission (SEC) in the Federal District Court in Brooklyn, New York. This […]

Soreide Law Group obtained the following information on FINRA’s website from the May 2018 Disciplinary Report.  Frank Bazan (CRD #5593113, Houston, Texas) was assessed a deferred fine of $20,000 and suspended from association with any FINRA member in all capacities for seven months for allegedly failing to disclose to his member firm that he was […]