According to FINRA’s BrokerCheck, available to the public on FINRA’s website, SCOTT W TAUBMAN (SCOTT WILLARD TAUBMAN, SCOTT W. TAUBMAN, SCOTT TAUBMAN) is a broker/financial advisor who was previously registered with AMERIPRISE FINANCIAL SERVICES, LLC of Peoria, Arizona, from 03/03/2017 - 09/13/2022. The FINRA report, dated July 19, 2024, states that SCOTT W TAUBMAN was […]

KERRY DEAN WILLS (KERRY WILLS) CRD#: 1353739 a registered representative with First Western Securities in Manhattan Beach, California, was fined by the Financial Industry Regulatory Authority Inc. (FINRA) $10,000 and suspended for six months from February 18, 2020 to August 17, 2020, allegedly for borrowing $150,000 from a 90-year-old client. According to FINRA, without admitting […]

Soreide Law Group, a Florida-based law firm, obtained the information on the following Florida broker from FINRA’s website under, “Disciplinary and Other FINRA Actions,” from January of 2020. Cody Hawkins-Fitzgerald (Also known as, CODY DOYLE HAWKINS, CODY DOYLE HAWKINS-FITZGERALD) CRD# 2506434 On November 12, 2019, FINRA issued an AWC in which Cody Hawkins-Fitzgerald was assessed […]

On June 14, 2019, the Financial Industry Regulatory Authority Inc. (FINRA) barred Patrick Foley (Patrick Neal Foley) CRD#: 6682164 from acting as a broker or otherwise associating with a broker-dealer firm. Patrick Foley, a former broker with MERRILL LYNCH, PIERCE, FENNR & SMITH, INC of Ontario, California was discharged from the firm in January of […]

Soreide Law Group obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions August 2017:” Cathy Ione Earnest (aka CATHY RUE) (CRD #2606992, Chicago, Illinois) was barred by FINRA for allegedly refusing to produce FINRA-requested information and documents in connection with an investigation into allegations received in a complaint by her member […]

JAMES ROBERT SCHAEDLER JR. CRD#: 4264512 (James Schaedler) has been barred from acting as a broker or otherwise associating with firms that sell securities to the public by the Financial Industry Regulatory Authority (FINRA). According to FINRA’s report on Schaedler’s BrokerCheck, which is available to the public, without admitting or denying the findings, James Schaedler […]

JEROME S. KRAUSE (CRD# 1582647) Alternate Name: JERRY KRAUSE, formerly with First Heartland Capital Inc., must pay $600,000 in damages to an elderly couple after he allegedly took money from them, according to the Financial Industry Regulatory Authority Inc. (FINRA). FINRA stated that Jerome S. Krause’s clients, both in their 80s, claimed Krause used his […]

Soreide Law Group (888-760-6552) obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions, July 2016.” Miguel Angel Hernandez (CRD #4733002, El Paso, Texas) was barred by FINRA for allegedly obtaining $25,000 in cash from an elderly client under false pretenses and converted those funds for personal use. FINRA’s findings stated that […]

Constance Marie Larsen (CRD #1171750, Centreville, Virginia) was assessed a deferred fine of $20,000 and suspended by FINRA for two years for allegedly borrowing $16,900 from an elderly client without notifying or receiving pre-approval from her member firm. FINRA's findings stated that Larsen knew the firm’s written procedures prohibited the loans and she took steps […]