Soreide Law Group, based in Florida, obtained the following information from FINRA’s Disciplinary Reports January 2017: Jennifer Lynn Steele (CRD #2761110, Pinellas Park, Florida) was fined $5,000 and suspended by FINRA for one month for allegedly failing to provide prior written notice to, and receive approval from, her member firm of an outside business activity […]

Soreide Law Group (888-760-6552) obtained the following information from the January 2017 Disciplinary Report on FINRA’s website; Richard Lynn Hollan (CRD #1401016, Houston, Texas) was fined $5,000 and suspended by FINRA for one month.   According to the FINRA report, during the time period of June 10, 2013 through September 10, 2015, Richard Hollan allegedly […]

BARRY FRANKLIN CONNELL (BARRY CONNELL) CRD#: 3070984 50 years-old, from Chester, New Jersey, was arrested in Henderson, Nevada, on Friday, February 3, 2017 on fraud and identity theft charges. Connell, a former Morgan Stanley financial advisor, was charged with using his position at Morgan Stanley to defraud three of the bank's wealthy clients from December […]

The Florida-based Soreide Law Group (888-760-6552) obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions, January 2017:” Shannon Lynn Parkoff-Moskoff (CRD #5750649, Boca Raton, Florida) (aka: SHANNON LYNN MOSKOFF,SHANNON LYNN PARKOFF,SHANNON PARKOFF) was barred by FINRA for allegedly accessing another registered representative’s credit card account and, without his authorization, converted credit […]

Soreide Law Group (888-760-6552) obtained the following information, available to all on FINRA website under, “Disciplinary and Other FINRA Actions January 2017.” Jeffrey Alan Hill (CRD #2204945, Bemidji, Minnesota) was fined $5,000, suspended by FINRA 15 months, and required to pay $45,000 in disgorgement of commissions received for allegedly initiating hundreds of trades for two […]

Soreide Law Group obtained the following information from FINRA’s Disciplinary Actions January 2017: Stuart Graham Dickinson (CRD #1047824, Highland Park, Texas) was barred by FINRA and required to pay $924,000, plus interest, in restitution to clients for allegedly selling securities without reasonable grounds for believing that the investment was suitable for any investor. FINRA’s findings […]

On January 30, 2017, Azure Midstream Partners LP (AZUR) announced that they, along with its affiliates and certain subsidiaries, began Chapter 11 cases in the United States Bankruptcy Court for the Southern District of Texas.  This was in efforts to manage its debt obligations and conserve its going concern value. The company also anticipates filing a […]

Soreide Law Group recently filed a lawsuit on behalf of three clients against registered representative, DANIEL FAIN (CRD# 19616), and WELLS FARGO ADVISORS, LLC (WELLS FARGO). The Claimants, two of whom are in their 70s and retired, had placed all of their investment assets with WELLS FARGO to supplement their income through retirement.  Each of […]

Soreide Law Group (888-760-6552) obtained the following information on FINRA’s website under, “Disciplinary and Other FINRA Actions January 2017.” Dougherty & Company LLC (CRD #7477, Minneapolis, Minnesota) was censured, fined $140,000 and required to pay $78,910 in restitution to an elderly client for allegedly, more than four years, not adequately supervising a representative who initiated […]