Soreide Law Group recently filed a lawsuit on behalf of their clients against EDWARD D. JONES & CO. for failing to supervise broker, Kristopher Lee McKoin of Bastrop, Louisiana. The Claimants, a couple from Louisiana who are both in their 70’s, were looking to maintain a conservative portfolio with the primary goal being to preserve […]

The following was obtained by Soreide Law Group on FINRA’s website under, “Disciplinary and Other FINRA Actions, January 2017.” Harry Colon Bennett (CRD#: 2395555, New Boston, Michigan) was barred by FINRA allegedly for refusing to appear for FINRA on-the-record testimony in connection with an investigation involving allegations that he may have engaged in sales practice […]

Soreide Law Group (888-760-6552) obtained the following information on FINRA’s website under, “Disciplinary and Other FINRA Actions, January 2017.” Kevin Lawrence Barbalace (CRD #4456476, Baltimore, Maryland) was assessed a deferred fine of $5,000 and suspended by FINRA for three months for allegedly making unsuitable investment recommendations to a client, and exposing the client to a […]

Soreide Law Group is currently investigating: BETH ANN DEBOUVRE  (aka BETH BUNNELL) CRD#: 3176483 Currently registered as a broker since 11/26/2003 with: IMS SECURITIES, INC 21 KERCHEVAL AVE. SUITE 320 GROSSE POINTE FARMS, MI 48236 BETH ANN DEBOUVRE is a registered representative and investment advisor with IMS.  She has been registered in the securities industry […]

Soreide Law Group obtained the following information from FINRA’s January 2017 disciplinary report.  Soreide Law Group also has pending litigation against Park Avenue Securities, also due to alleged lack of supervision. Park Avenue Securities LLC (CRD #46173, New York, New York) was censured and fined $195,000 by FINRA for allegedly failing to enforce its Written Supervisory […]

Soreide Law Group, based in Pompano Beach, Florida, obtained the following information on the following Florida broker from FINRA’s website under, “Disciplinary and Other FINRA Actions January 2017.” Paul McLellan Alexander Jr. (CRD #4285605, Jupiter, Florida) was assessed a deferred fine of $5,000 and suspended by FINRA for 20 business days because, allegedly against his […]

Soreide Law Group obtained the following information on FINRA’s website under, “Disciplinary and Other FINRA Actions, January 2017.” VFG Securities, Inc. (CRD® #15121, Culver City, California) and Jason Bryce Vanclef (CRD #5096529, San Luis Obispo, California) VFG Securities, Inc. was censured and fined $50,000, of which $10,000 is joint and several with Vanclef. Vanclef was […]

HENRY AL DEAN WATSON  (aka: DEAN WATSON, HENRY DEAN WATSON) CRD#: 1326969 former broker with Hilliard Lyons, was barred by the Financial Industry Regulatory Authority Inc. (FINRA) on Janurary 17, 2017, when he failed to appear for testimony before FINRA.  Watson recently settled a client complaint alleging excessive trading and commissions, unauthorized trading, and portfolio […]

Soreide Law Group is representing clients in a law suit against, for his activity at Raymond James & Associates, Inc., Rogers, Arkansas broker; JOE DON TREECE CRD#: 2925735 Treece was suspended by FINRA.  Joe Don Treece also had an employment separation on 12/08/2015 from Arvest Wealth Management in Bentonville, AR. According to a FINRA report, […]