Soreide Law Group (888-760-6552) obtained the following information on FINRA’s website listed under, “Disciplinary and Other FINRA Actions, April 2016.” William Wesley Marshall (CRD #3267723, Frisco, Texas) was fined $10,000 and suspended by FINRA for 15 months for allegedly participating in the sale of $1.72 million of privately-issued preferred stock without having provided prior written […]

The Securities and Exchange Commission is running a new ad campaign targeting seniors encouraging them to look up their financial advisor before they invest. Unfortunately, more often than not the check up on the broker happens after money is already invested or even worse lost. The Financial Industry Regulatory Authority or “FINRA” has also marketed […]

The South Florida based law firm, Soreide Law Group, obtained the following summary of information from FINRA's website under, "Disciplinary and Other FINRA Actions, April 2016." CHRISTOPHER B. KELLY (CRD# 2306054, Jupiter, Florida) was assessed a deferred fine of $10,000 and suspended by FINRA for four months for allegedly borrowing $150,000 from clients which is […]

South Florida-based Soreide Law Group, (888) 760-6552, obtained the following information from FINRA's website under “Disciplinary and Other FINRA Actions, April, 2016.” Stuart Horowitz (CRD #2795019, Coral Springs, Florida) was assessed a deferred fine of $100,000 and suspended by FINRA for one year for allegedly recommending and engaging in unsuitable trading in preferred notes of […]

Soreide Law Group, (888) 760-6552, recently obtained the following information from FINRA's website under “Disciplinary and Other FINRA Actions, April, 2016.” Bahram Mirhashemi (CRD #2937037, Newport Coast, California) was barred by FINRA for allegedly churning clients accounts, engaging in excessive and unauthorized trading and making unsuitable recommendations to clients. Bahram Mirhashemi consistently spread mutual fund […]

The Florida-based Soreide Law Group (888-760-6552) obtained the following information on FINRA’s website listed under, “Disciplinary and Other FINRA Actions, April 2016.”   Brian Lewis Pittman (CRD #2963196, Orlando, Florida) was assessed a deferred fine of $10,000 and suspended for six months for allegedly participating in a private securities transaction without providing prior written notice […]

Atlas Energy LP is asking for investors to contribute at least $25,000 in a partnership that will drill for oil and gas in Texas, Ohio, Oklahoma and Pennsylvania.  They will then share any revenue from the wells output according to a recent article in Reuters.  The subsidiary, Atlas Resources LLC wants to raise up to […]

The Pompano Beach, Florida-based Soreide Law Group obtained the following information from FINRA's website under, "Disciplinary and Other FINRA Actions, April 2016."   Giovanni L. Acevedo (CRD #2508321, Wilton Manors, Florida) was barred by FINRA for allegedly converting more than $160,000 from individuals, including clients, for his own personal use. FINRA's findings stated Acevedo provided […]

Soreide Law Group is actively filing cases on behalf of clients who purchased stock in the world's largest independent coal producer, Peabody Energy (BTU), on the recommendations of their brokers or financial advisors.  The clients we are currently representing have experienced devastating losses to their portfolios. Many of these clients planned on their investments in […]