Soreide Law Group is currently investigating possible claims against JOHN M. BABIARZ (CRD# 3047247), a 40 year-old investment advisor from Peabody, MA, formerly employed with Bishop, Rosen & Co. of Newton, MA. Babiarz has pleaded guilty in US District Court to wire fraud and aggravated identity theft. He allegedly defrauded several clients out of their […]

Soreide Law Group, (888) 760-6552, obtained the following summation from FINRA’s website, listed under “Disciplinary and Other FINRA Actions, May, 2014.” Daniel Howard Glick (CRD #2175655, Chicago, Illinois) was barred by FINRA because allegedly during FINRA's investigation, FINRA had requested documents and information concerning findings by the Certified Financial Planner Board of Standards. This was […]

RALPH H. LORD (CRD# 312708), a stock broker and former investment advisor from Flowood, Mississippi, was fined by the Mississippi Secretary of State for allegedly advising a now-deceased Greenville, Mississippi woman to buy into a risky company. The investigation revealed that in 2003 - 2004, Lord allegedly sold a 90 year-old woman, $230,000 in debt […]

The following summation of information is listed on FINRA's website under “Disciplinary and Other FINRA Actions, May, 2014.” Jeffrey Scott Davis (CRD #3081852, Virginia Beach, Virginia) was barred by FINRA. According to FINRA's report, allegedly Davis converted $116,976.69 from his clients' brokerage accounts at his firm and used these funds for his personal use. According […]

Soreide Law Group, (888) 760-6552, recently obtained the following summation of information from FINRA’s website under “Disciplinary and Other FINRA Actions, May, 2014.” Lisa Ann Brislin (CRD #3260935, Buston, Maine) was fined $7,500 and suspended by FINRA for 30 days for allegedly providing false information on her firm’s internal system on three separate occasions. According […]

The following summation of information is from FINRA's website under "Disciplinary and Other Actions, May, 2014." Robert Christian Acri (CRD #1429736, Winnetka, Illinois) was barred by FINRA for his alleged involvement in the sale of alternative investments. These alternative investments included promissory notes which had defaulted. According to FINRA, they had requested information and documents […]

Soreide Law Group, (888) 760-6552, obtained the following summation of information from FINRA’s website under “Disciplinary and Other FINRA Actions, May, 2014.” SunGard Brokerage & Securities Services LLC (CRD #104162, Geneva, Illinois) was censured and fined $15,000 by FINRA. According to the FINRA report, SunGard allegedly failed to establish, maintain, and also enforce their written […]

The following summary of information is available on FINRA's Website under “Disciplinary and Other FINRA Actions, May, 2014.” Investors Capital Corp. (CRD #30613, Lynnfield, Massachusetts) was censured and fined $100,000 by FINRA. According to the FINRA report, allegedly Investors Capital Corp. failed to give exchange-traded fund (ETF) prospectuses to their customers. (The definition in finance […]

Soreide Law Group, PLLC, (888) 760-6552, has obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, May, 2014.” The information has been condensed. Global Hunter Securities, LLC (CRD #123003, New Orleans, Louisiana) was censured and fined $35,000 for allegedly failing to establish anti-money laundering (AML) procedures. The AML procedures are designed […]