Soreide Law Group recently filed a FINRA arbitration on behalf of their clients against EDWARD D. JONES & CO., and their registered representative, Kristopher Lee McKoin (CRD# 4071659). The Claimants, a married couple both in their 70s from Louisiana, were looking to maintain a conservative portfolio with a primary goal of preserving their capital and […]

On November 30, 2015, Soreide Law Group published the following article on our blog regarding JEAN A. WALSH-JOSEPHSON (CRD# 2736044) (Alternate Names: JEAN ANN JOSEPHSON, JEAN WALSH-JOSEPHSON), a former financial advisor from Oshkosh, Wisconsin, charged with 20 counts of theft in a business setting of more than $10,000 each. Allegedly, Walsh-Josephson stole $1.5 million from […]

Soreide Law Group obtained the following on FINA’s Disciplinary Report February, 2017: The Office of Hearing Officers (OHO) issued the following decision, which has been appealed to or called for review by the NAC as of December 31, 2016. The NAC may increase, decrease, modify or reverse the findings and sanctions imposed in the decision. […]

Soreide Law Group obtained the following information fro:m FINRA’s Disciplinary Report and BrokerCheck: ERIC S. DARTY (ERIC DARTY) CRD#: 6314905 a broker formerly with BBVA Securities in Birmingham, Alabama, was barred by FINRA on February 14, 2017, for failing to cooperate with a FINRA investigation into alleged misconduct. The FINRA report stated that ERIC DARTY […]

On February 14, 2017, the Financial Industry Regulatory Authority (FINRA) announced that a FINRA hearing panel has expelled Plano, TX-based Red River Securities, LLC, and barred its CEO, Brian Keith Hardwick. Red River Securities, LLC, and Hardwick, were ordered by FINRA to jointly and severally pay $24.6 million in restitution to clients for fraudulent sales […]

Soreide Law Group is investigating claims on behalf of our client involving former LPL Financial and Edward Jones broker, MARCOS YANEZ (CRD#: 5353857). Mr. Yanez most recently worked at an LPL Financial office in Dallas, Texas. Mr. Yanez also maintained an outside electrician business. Upon information and belief, allegedly Mr. Yanez encouraged certain clients to […]

The South Florida-based Soreide Law Group (888-760-6552) obtained the following information on FINRA’s website: ALEJANDRO FALLA (ALEJANDRO FALLA CARRASCO) (CRD #5064828, Miami, Florida) According to FINRA’s BrokerCheck, in September 2016, ALEJANDRO FALLA was named a respondent in a FINRA complaint alleging that as the Chief Executive Officer and head trader of BAC FLORIDA INVESTMENTS, he […]

Soreide Law Group (888-760-6552) obtained the following from FINRA’s February, 2017 Disciplinary Report: Thomas Joseph Vilord (CRD #4261608, Sewell, New Jersey) was barred by FINRA for allegedly participating in undisclosed private securities transactions* involving more than $347,500 in unregistered corporate debenture notes sold to clients of his member firm. FINRA’s findings stated that Thomas Joseph […]

Soreide Law Group obtained the following complaint information from FINRA’s website under the February 2017 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 allegations […]