Lars K. Soreide, of Soreide Law Group, a securities arbitration law firm based out of Fort Lauderdale, representing investors Nationwide before FINRA, had clients who were recently awarded approximately $560,626.00 in a FINRA arbitration against John Michael Greer, Sr., for his role in the sale of the Church Mortgage and Loan bond to a retired […]

The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, February, 2013.” Delaney Equity Group, LLC (CRD #142285, Palm Beach Gardens, Florida) and David Cameron Delaney (CRD #2447186, Registered Principal, West Palm Beach, Florida) were named respondents in a FINRA complaint alleging that the firm, acting through Delaney, its president/CCO/AMLCO, failed to […]

The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, February, 2013.” David Arthur Tetley (CRD #1511967, Registered Representative, Fairfield, Connecticut) was fined $5,000 and suspended from association with any FINRA member in any capacity for four months. Without admitting or denying the findings, Tetley consented to the described sanctions and to […]

The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, February, 2013.” Neftali Mercedes (CRD #3201827, Registered Principal, New York, New York) was barred from association with any FINRA member in any capacity and ordered to pay a total of $97,500, plus interest, in restitution to customers. FINRA's sanctions were based on […]

The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, February, 2013.” Edward Daniel Hochard (CRD #1830418, Registered Principal, Palm Bay, Florida) was fined $15,000 and suspended from association with any FINRA member in any capacity for six months. Without admitting or denying the findings, Hochard consented to the described sanctions and […]

Soreide Law Group is investigating potential claims against John Thomas Financial. John Thomas Financial raised approximately $5,000,000 as the lead underwriter for America West. Certain investors were advised that within approximately six months the private placement shares would convert to publicly traded stock and all the investors would realize short-term profits. Instead, investors have suffered […]

The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, February, 2013.” Martin Benjamin Feibish (CRD #205556, Registered Representative, Providence, Rhode Island) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Feibish consented to the described sanction and to the entry of findings that […]

The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, February, 2013.” Richard Grant Cody (CRD #2794558, Registered Representative, Wall, New Jersey) was fined a total of $27,500 and suspended from association with any FINRA member in any capacity for one year. The United States Court of Appeals for the First Circuit […]

The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, February, 2013.” Joseph Edward Conti (CRD #1230968, Registered Principal, Lantana, Florida) was barred from association with any FINRA member in any principal capacity and suspended from association with any FINRA member in any capacity for three months. Because of Conti’s financial status, […]