The following information was found on FINRA’s website under “Disciplinary and Other FINRA Actions, September, 2013.” Call Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Jill Meredith Carr (CRD #5353409, Registered Representative, Ellicott City, Maryland) was fined $10,000 and suspended from association with any FINRA member in any capacity for two years. Without […]

The following information has been obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, September, 2013.” Carl Max Birkelbach (CRD #1177843, Registered Principal, Chicago, Illinois) was suspended from association with any FINRA member in any capacity for two years. Without admitting or denying the allegations, Birkelbach consented to the described sanction and to the […]

On Tuesday, September 17th., 2013, 47 year old, Andorean Boleancu, a financial adviser from Northern California, pleaded guilty to charges that he wrote over $1.8 million in checks from his client's accounts. This client was an elderly widow. The U.S. Attorney's office said that Andorean Boleancu now faces 30 years in prison, a $1 million […]

The Soreide Law Group, PLLC, (888) 760-6552, has obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, September, 2013.” The information has been condensed. Vincent Au (CRD #2005219, Registered Principal, New York, New York) was fined $20,000, suspended from association with any FINRA member in any capacity for 30 days, and […]

Gary H. Lane, 60, of Reno, pleaded guilty on Tuesday, September 3, 2013, to 12 counts of mail fraud and five counts of attempt to evade or defeat tax. Gary Lane, a former financial adviser with Bank of America, has also pleaded guilty to defrauding six clients of more than $2 million during 2010 and […]

On September 11, 2013, the Securities and Exchange Commission, SEC, entered final judgments by consent against Owen Mark Williams and True North Finance Corporation, f/k/a CS Financing Corporation, in a Minnesota federal court, in a civil injunctive action, filed by the SEC on September 21, 2010. This judgment against Williams requires him to pay a […]

On September 11, 2013, the Securities and Exchange Commission, SEC, entered final judgments by consent against Owen Mark Williams and True North Finance Corporation, f/k/a CS Financing Corporation, in a Minnesota federal court, in a civil injunctive action, filed by the SEC on September 21, 2010. This judgment against Williams requires him to pay a […]

The Securities and Exchange Commission, SEC, has filed a civil injunctive in the United States District Court for the District of Colorado against Brian G. Elrod, on September 9, 2013, for allegedly conducting a fraudulent offering of promissory notes which Nova D. Pack acted as an unregistered broker. Elrod and Pack reside in Buffalo Creek, […]

The Securities and Exchange Commission (SEC),filed an application with the United States District Court for the Northern District of Georgia on June 12, 2013, for an order to enforce investigative subpoenas served on Bridge Securities, LLC, Bridge Equity, LLC, Bridge Equity, Inc. and FOGFuels, Inc. of Atlanta, Georgia. All are under the control of Paul […]