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, […]

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 […]