Latest Securities Lawyer News

Brokerage Herbert J. Sims Is Sued Customer of Boca Raton Brokerage Herbert J. Sims Files Securities Arbitration Due To Robert Alan Salles Robert Alan Salles (CRD #1468194, Boca Raton, Florida), who has been a registered representative of Herbert J. Sims & Co, Inc. since October 11, 2002, disclosed via Financial Industry Regulatory Authority (“FINRA”) BrokerCheck that […]

FINRA Fines Laidlaw & Company Ltd. Laidlaw & Company Ltd. (CRD #119037, New York, New York) is a broker-dealer registered with the Financial Industry Regulatory Authority (“FINRA”) that submitted a Letter of Acceptance, Waiver and Consent, resulting in FINRA imposing a censure and $25,000.00 fine to resolve allegations that Laidlaw failed to supervise its registered […]

FINRA Bars Brian Joseph Panfil Brian Joseph Panfil (CRD #4326407, Chicago, Illinois), who was a registered representative of Caldwell International Securities and Ridgeway & Conger, Inc., is now barred by the Financial Industry Regulatory Authority (“FINRA”) from acting as a broker or associating with FINRA member broker-dealer firms pursuant to a Default Decision issued by a […]

American Finance Trust, Inc. (AFIN) Losses? Soreide Law Group is investigating claims on behalf of investors who purchased American Finance Trust, Inc. (Nasdaq: AFIN) – a real estate investment trust (REIT) sponsored by AR Global with a purported emphasis on the management and acquisition of a service-focused tenant portfolio. AFIN REIT LOSSES? According to a […]

MITCHELL TOBY YANOW (CRD#: 214817), a former STIFEL, NICOLAUS & COMPANY, INC financial advisor from BOCA RATON, FL, was barred by FINRA on July 11, 2018, from acting as a broker or otherwise associating with a broker-dealer firm for allegedly stealing over $205, 000 from an 87 year-old client. Yanow was accused of writing checks […]

Gradient Securities Customers File Complaints Over Annuities Losses With Broker Jack Howard Owens Jr.  Jack Howard Owens, Jr. (CRD #2240940, Lady Lake, Florida), who has been registered with Gradient Securities, LLC between December 10, 2009 and June 1, 2018, disclosed via the Financial Industry Regulatory Authority (“FINRA”) BrokerCheck his involvement in activities giving rise to […]

CETERA FINANCIAL SPECIALISTS LLC CRD# 10358 SEC# 8-27082, was recently censured by FINRA, the Financial Industry Regulatory Authority Inc., and also fined $200,000, for supervisory failures in connection with its brokers' outside business activities. The allegations, in part, were as follows: “The firm consented to the sanctions and to the entry of findings that it […]

Paul Edward Soll (CRD#: 430284) was barred by FINRA from acting as a broker or otherwise associating with a broker-dealer firm on July 12, 2018. The Financial Industry Regulatory Authority Inc. barred Paul Soll for allegedly failing to provide FINRA with information about his trading activity while he was employed by Financial West Group in […]

Soreide Law Group has filed cases against brokers who sold Aequitas Management LLC and suffered devastating losses.  Investors can still file claims against financial advisors and brokerage firms that sold Aequitas for failing to do their due diligence on this Ponzi-like investment. It was reported recently that the Portland, Oregon-based law firm, Tonkon Torp, has […]