Soreide Law Group, PLLC, a Securities Arbitration Law Firm, (888) 760-6552, obtained he following information on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013.” Craig Robert Morrison (CRD #4490109, Registered Representative, Gainesville, Florida) fined $5,000 and suspended from association with any FINRA member in any capacity for three months. Without admitting or denying […]

Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013.” Anthony Mediate III (CRD #2449614, Registered Representative, Red Bank, New Jersey) was suspended from association with any FINRA member in any capacity for 60 days. Because of Anthony Mediate’s financial […]

The following information was found on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013.” Call Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Chadrick David Kelly (CRD #2712230, Registered Representative, Denham Springs, Louisiana) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Kelly […]

The following information was found on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013.” Call Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Chadrick David Kelly (CRD #2712230, Registered Representative, Denham Springs, Louisiana) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Kelly […]

This information appeared on FINRA’s website under “Disciplinary and Other Actions, August, 2013.” Giles Anthony Hoagland (CRD #4160185, Registered Representative, Peru, Indiana) was barred from association with any FINRA member in any capacity. This sanction was based on findings that Hoagland began using his client’s monthly insurance premiums to pay his own personal expenses. Giles […]

Soreide Law Group, PLLC, is a Securities Arbitration Law Firm, (888) 760-6552. The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013.” Diego Fernando Hernandez (CRD #3054186, Registered Representative, Lonetree, Colorado) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Hernandez […]

This information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Jon Eric Guay (CRD #2837453, Registered Representative, San Jose, California) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Guay consented […]

This information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Jon Eric Guay (CRD #2837453, Registered Representative, San Jose, California) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Guay consented […]

On August 27, 2013, in the U.S. District Court in Tulsa, Oklahoma, the Securities and Exchange Commission (SEC) brought securities fraud charges against former investment adviser Larry J. Dearman, Sr. and associate, Marya Gray, in connection with fraudulent securities offerings in Bartnet Wireless Internet, The Property Shoppe and Quench Buds, owned by Gray, and located […]