WALTER JOSEPH MARINO (WALTER MARINO) CRD#: 2121623, A former broker with Legend Equities Corporation of Palm Beach Gardens, Florida, has had a disciplinary complaint filed against him by the Financial Industry Regulatory Authority Inc. (FINRA) for allegedly recommending exchanges of non-qualified variable annuities to two clients without having a reasonable basis for recommending the transactions. […]

RONALD DALE BROADSTONE CRD#: 1043159, a former broker with UBS Financial of New Albany, Ohio, has been barred by FINRA from acting as a broker or otherwise associating with firms that sell securities to the public. According to the Financial Industry Regulatory Authority Inc (FINRA) report, allegedly Broadstone refused to respond to FINRA's questions during […]

A THOMAS EDWARD ANDREWS (TOM ANDREWS) CRD#: 4587953, a broker formerly with LPL Financial in Salt Lake City, Utah, has been charged with defrauding 23 investors by the SEC.  Andrews is currently in federal prison. Included in these charges are Andrews’ former assistant, Scott Christensen, who also is in prison. The latest complaint filed by […]

Soreide Law Group obtained the following April 2017 Disciplinary Report from FINRA’s website: Kelly Clayton Althar (CRD #2666723, San Pablo, California) was barred by FINRA for allegedly making unsuitable recommendations and engaged in excessive trading in accounts held by an elderly client. FINRA’s findings stated that Kelly Althar engaged in high-volume trading to generate commissions […]

WWILLIAM DANIEL BUCCI (CRD#: 1140193),  formerly with Financial Network Investment Corporation, now known as Cetera Advisor Network of King of Prussia, Pennsylvania, has been barred by FINRA from acting as a broker or otherwise associating with firms that sell securities to the public.  According to FINRA’s BrokerCheck, Bucci has 10 Disclosures, 6 of which are Customer […]

Soreide Law Group obtained the following information from FINRA’s Disciplinary Report April 2017: Joseph Henry Murphy III (Joe Murphy) (CRD #1829393, Madison, Wisconsin) was fined $5,000 and suspended by FINRA for 10 business days for allegedly exercising discretion in client accounts that were unrelated, non-discretionary accounts. According to FINRA, these transactions occurred on three separate […]

Soreide Law Group has filed case against Newbridge Securities for the sale of ForceField Energy Inc. (FNRG) stock. On April 21, 2017 the SEC suspended trading in Force Energy (FNRG), an LED lighting company.  This alleged stock fraud cost investors $131 million. Listed stocks often get halted, delisted, and then suspended, but ForceField was suspended […]

Soreide Law Group represents clients nationwide before FINRA on a contingency fee basis.  We are conveniently based in Pompano Beach, Florida, for all of our South Florida clients.  The following information regarding a South Florida brokerage firm, was obtained from the April 2017 Disciplinary Report on FINRA’s website: Dawson James Securities, Inc. (CRD #130645, Boca […]

Each month Soreide Law Group reviews FINRA’s Disciplinary Report and finds many of the same types of incidents over and over again involving the elderly.  We are here to help the clients of these brokers, many losing their very valuable retirement savings. It is particularly difficult when we learn of yet another elderly client being […]