Soreide Law Group has filed lawsuits for several investors whose stock brokers recommended Energy XXI Ltd.  These investors were placed in a high concentration of this very volatile oil and gas stock by their brokers in their conservative portfolios. Energy XXI Ltd., an oil and gas company, filed for Chapter 11 bankruptcy protection, in April, […]

Soreide Law Group (888-760-6552) obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions December, 2016.” Gregory Russel Bauer (GREGORY BAUER) (CRD #2552478, Saxonburg, Pennsylvania) was barred by FINRA for allegedly forging his member firm clients’ signatures, which caused the unauthorized sale of securities, intercepted checks in the mail, deposited the checks […]

A Soreide Law Group (888-760-6552) obtained the following information from FINRA’s Disciplinary Actions December 2016. Mark Tauzin (CRD #1716373, Lafayette, Louisiana) was assessed a deferred fine of $20,000, suspended by FINRA for eight months, and required to pay deferred disgorgement of ill-gotten gains in partial restitution in the total amount of $205,115.02, plus interest, to […]

Soreide Law Group obtained the following information on FINRA’s website under, “Disciplinary and Other FINRA Actions, December 2016.” Robert James Batchen (CRD #2106288, Wheeling, Illinois) was assessed a deferred fine of $15,000, and suspended by FINRA for five months for allegedly effecting discretionary trades in a client’s accounts. FINRA’s findings stated that although the client […]

Soreide Law Group (888-760-6552) obtained the following information from FINRA’s December disciplinary actions: Jeffrey D. Jacobson (CRD #1976541, Maple Grove, Minnesota) was fined $7,500 and suspended by FINRA for 15 business days for allegedly failing to adequately supervise a representative who initiated hundreds of trades for elderly clients without contacting them and unsuitably recommended transactions […]

Soreide Law Group obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions, December 2016: Investors Capital Corp (CRD #30613, Lynnfield, Massachusetts) was censured, fined $250,000 and required to pay $841,532.97 in restitution, which includes interest to clients. Investors Capital Corp has already paid approximately $224,500 in restitution to affected customers in […]

The Soreide Law Group (888-760-6552) obtained the following information on FINRA’s website under, Disciplinary and Other FINRA Actions December 2016.” Kenley Brisard (CRD #2641960, Weston, Florida) FINRA Case #2010022046101 Philip Brisard (CRD # 2646923, Wellington, Florida) FINRA Case #2010022046101 Were both barred by FINRA for allegedly selling an unregistered security that consisted of interest-only strips […]

Soreide Law Group (888-760-6552) obtained the following information on FINRA’s website located under “Disciplinary and Other FINRA Actions, December 2016.” Houlihan Capital, LLC (CRD #156028, Chicago, Illinois), and Andrew David Smith (CRD #2433015, Clarendon Hills, Illinois) also known as Andy Smith Houlihan Capital was censured and fined $25,000, $5,000 of which is joint and several […]

CHARLES CALEB FACKRELL (CRD#: 5369665) 36 years-old, from Booneville, N.C., plead guilty in April to one count of fraud for operating a $1.4 million Ponzi scheme, was sentenced December 6, 2016, to 63 months in prison.  Fackrell faces three years of court supervision after his release from prison. He is required to pay $819,919 in […]