Joshua Daniel Mosshart, General Securities Representative and General Securities Principal CRD No. 3174050 According to FINRA in May, 2011, Joshua Mosshart had asked permission from his firm, LPL Financial, to be an Enviro Board sales representative. Mosshart was approved by LPL and was told not to solicit investors in Enviro Board. This would require Mosshart […]

Cory Ward Taylor, Registered Representative, CRD No. 4397111, was fined $15,000 and suspended for six weeks by FINRA. According to FINRA's investigation, Cory Taylor purchased Facebook stock on May 18, 2012, the day of the IPO, in 54 accounts for 44 different client groups, some who had multiple accounts. Taylor spoke to 30 of his […]

Marilyn T. Myers, CRD No. 1620382, has been fined $20,000 and suspended for two years by FINRA. According to FINRA's investigation, from September 2009 through February 2011, Marylin T. Myers participated in private securities transactions without notifying her firm, or obtaining the written approval from her firm. Myers invested in a privately-held company known as […]

The Soreide Law Group, (888) 760-6552, recently obtained the summation of information from FINRA’s website listed as “Disciplinary and Other FINRA Actions, February, 2014.” Shelby Lee Bowles (CRD #1982481, Registered Principal, Newburg, Maryland) has been fined $40,000 and suspended by FINRA for 10 months. Shelby Bowles consented to the sanctions and findings that he was […]

The following summation of information was found on FINRA's website under "Disciplinary and Other FINRA Actions, February, 2014." Robert Lee Bateman (CRD #1459540, Registered Representative, Ogden, Utah) was fined $25,000 and suspended by FINRA for 18 months. Robert Bateman consented to the sanctions and findings that he accepted gifts from clients totaling $151,000 and borrowed […]

Soreide Law Group, (888) 760-6552, obtained this summation of information from FINRA’s website under “Disciplinary and Other FINRA Actions, February, 2014.” Charles William Apodaca (CRD #1604427, Registered Principal, Eagle, Idaho) has been barred by FINRA after consenting to the sanction that he effected the purchases of securities in customers' accounts without receiving the authorization by […]

The Soreide Law Group, (888) 760-6552, obtained the following summation of FINRA's report from FINRA’s website under “Disciplinary and Other FINRA Actions, February, 2014.” Tracy Philander Holloway (CRD #5777595, Registered Representative, Winterville, North Carolina) was barred by FINRA for allegedly opening an insurance agency and filing fraudulent claims under the policies held by his clients. […]

This summation of information was found on FINRA's website under "Disciplinary and Other FINRA Actions, February, 2014." Carlo Wayne Corzine (CRD #1928723, Registered Principal, Boca Raton, Florida) was suspended by FINRA for 30 days. According to FINRA's investigation, Corzine sold more than 152 million unregistered shares of a thinly-traded OTC security for his clients, which […]

The Soreide Law Group is currently investigating possible legal action against the financial advisors/stock brokers who recommended the Lakeside 370 Levee District bonds of St. Charles County, Missouri, to their customers. The area’s levee district failed to make interest payments that were due to more than 200 owners of $33.9 million in bonds which had […]