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 […]

Soreide Law Group, based in South Florida, recently obtained the following information from FINRA’s website listed under, “Disciplinary and Other FINRA Actions, November, 2016.” DOUGLAS W. STUDER (CRD# 4440047 Ft. Lauderdale, Florida) Alternate Names: DOUG STUDER was recently barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Douglas […]

Soreide Law Group, based in Florida, obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions, November 2016.” Kimberly Springsteen-Abbott (CRD #1367633, Holiday, Florida) Alternate Names: KIMBERLY ANN BORHAM, KIMBERLY ANN CRAIN, KIMBERLY ANN MACDOUGALL, KIMBERLY ANN SPRINGSTEEN was barred by FINRA and ordered to disgorge $208,953.75 plus prejudgment interest, to FINRA. […]

Soreide Law Group, based in South Florida, obtained the following information on FINRA’s website under, “Disciplinary and Other FINRA Actions, November 2016.” The following three South Florida companies: Double Eagle Securities of America of Tamarac, VFinance Investments of Boca Raton, and TradeSpot Markets of Davie were listed in the report. Double Eagle Securities of America, […]

When Atlas Resource Partners LP filed for Chapter 11 bankruptcy in July, it negotiated away $900 million of debt.  This restructuring may have reduced Atlas’ debt, but because Atlas is an MLP or Master Limited Partnership, it also could have left its investors with a large tax bill. The negotiated plan has the company’s unit […]

Soreide Law Group has been investigating claims by clients regarding the former Morgan Stanley broker; STEVEN M. WYATT (CRD# 2522129) Alternate Names: STEVE MARK WYATT During Wyatt’s five years with MORGAN STANLEY SMITH BARNEY of RIDGELAND, MS, his supervisors noted his problematic behavior and business patterns many times but failed to step in, according to […]

Soreide Law Group has been contacted by investors whose brokers recommended the very volatile oil and gas stock and over-concentrated their portfolios in: Yuma Energy, Inc., (YUMA)  (Prior to reverse Merger with Davis Petroleum Acquisition Corp.) 52-wk High $7.58 52-wk Low  $0.02 In October of 2016, Yuma Energy, Inc. (YUMA) and privately held Davis Petroleum […]

GERALD J. COCUZZO (CRD# 4047511) Alternate Names: JERRY COCUZZO, 38 year old broker, formerly with New Bridge Securities and IAA Financial, both of Boca Raton, Florida, pleaded guilty recently to securities fraud in connection with the fraudulent market manipulation of ForceField Energy Inc. (FNRG), causing a loss of $131 million to the investors. According to […]