The Financial Industry Regulatory Authority (FINRA) recently filed a cease-and-desist order against Success Trade Securities. Allegedly the online investment firm scammed its investors, which included a number of professional athletes. FINRA issued a complaint against Success Trade and its CEO and President, Fuad Ahmed, accusing fraud in the sales of $18 million in notes issued […]

A Financial Industry Regulatory Authority (FINRA) arbitration panel ordered a former employee of Merrill Lynch, Deutsche Bank, and Oppenheimer & Co. to pay nearly $11 million to an investor who alleged his broker, Karl Hahn, misrepresented securities and made excessive trades. The investor’s case against the former broker Karl Hahn, stems from transactions involving covered […]

Soreide Law Group, PLLC, a Securities Arbitration Law Firm, phone (888) 760-6552, has posted several articles on our blog regarding Anastasios "Tommy" Belesis over the past several months. The following information was listed on FINRA's website on April 15, 2013. The Financial Industry Regulatory Authority (FINRA) announced that it has filed a complaint against John […]

Soreide Law Group is investigating potential claims on behalf of investors with losses in gold futures, gold options, gold stocks, or gold ETFs. If your broker invested more than 25% of your portfolio in gold investments and you have suffered substantial losses, you may have a claim for damages. Global inflation is falling which reduces […]

Soreide Law Group, PLLC, a Securities Arbitration Law Firm, phone (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, April, 2013.” William Howard Buckley (CRD #3074452, Registered Representative, Punta Gorda, Florida) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Buckley […]

The Soreide Law Group, PLLC, a Securities Arbitration Law Firm, (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, April, 2013.” Roman Jerzy Sledziejowski (CRD #3141438, Registered Principal, Ossining, New York) was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations, Sledziejowski […]

Soreide Law Group, PLLC, a Securities Arbitration Law Firm, (888) 760-6552, found the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, April, 2013.” Forrest Nolan Jackson (CRD #4222253, Registered Representative, Austin, Texas) was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations, Jackson consented to […]

Soreide Law Group, PLLC, a Securities Arbitration Law Firm, (888) 760-6552, found the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, April, 2013.” John Michael Babiarz (CRD #3047247, Registered Principal, Peabody, Massachusetts) was fined a total of $20,000 and suspended from association with any FINRA member in any capacity for a total […]

The Soreide Law Group, PLLC, a Securities Arbitration Law Firm, (888) 760-6552, found the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, April, 2013.” Arthur Apostol (CRD #2265647, Registered Representative, Ashford, Connecticut) was fined $5,000 and suspended from association with any FINRA member in any capacity for three months. Without admitting or […]