Soreide Law Group obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions” for May of 2021: Jeffrey Alan Fladell (CRD #209278, Boca Raton, Florida) According to FINRA, on March 25, 2021, an Acceptance, Waiver and Consent (AWC) was issued in which Jeffrey Alan Fladell was assessed a deferred fine of $5,000 […]

STEPHEN CORLEY CARVER (STEPHEN C. CARVER) CRD#: 2230161, a broker formerly with CETERA ADVISORS LLC of PEORIA, IL, had a complaint filed against him on October 10, 2018, alleging financial exploitation of the elderly, negligence, breach of fiduciary duty, unlawful conversion, breach of Illinois consumer fraud Act, fraud, negligent misrepresentation, breach of FINRA regulations, and […]

CETERA FINANCIAL SPECIALISTS LLC CRD# 10358 SEC# 8-27082, was recently censured by FINRA, the Financial Industry Regulatory Authority Inc., and also fined $200,000, for supervisory failures in connection with its brokers' outside business activities. The allegations, in part, were as follows: “The firm consented to the sanctions and to the entry of findings that it […]

BRADLEY EVERETT GARDNER (CRD#: 4423724) an advisor formerly with LPL Financial in Fort Bragg, California, has been barred by FINRA from acting as a broker or otherwise associating with a broker-dealer firm, following allegations of misappropriating $7,400 from an elderly client. According to FINRA, Gardner allegedly accepted a $7,400 personal check from the elderly client […]

Soreide Law Group, based in South Florida, obtained the following information from the February, 2018, Disciplinary Report from FINRA: Jermaine Doral Joseph (CRD #6056737, Miami Gardens, Florida) was barred by FINRA for allegedly serving as a personal representative in two wills executed by a client, and served as a representative payee for a non-client with […]

MICHAEL ALAN SIEGEL (MICHAEL A SIEGEL) CRD#: 1950871, a Livingston, New Jersey broker will have his agent registration revoked and was fined $100,000 in civil penalties against him and his company NJLI Advisors L.L.C. after defrauding an elderly couple of at least $280,000, according to the Attorney General of New Jersey Bureau of Securities. Allegedly, Michael […]

Soreide Law Group obtained the following information from FINRA’s Disciplinary Report January, 2018: HANK MARK WERNER (HENRY WERNER) (CRD#: 1615495 Northport, New York) Has been barred by a FINRA extended hearing panel, for fraudulently churning and excessively trading the accounts of his client—a blind, elderly widow—and for making unsuitable recommendations. The hearing panel also ordered […]

Soreide Law Group obtained the following information from FINRA's August 2017 Disciplinary Report: Jeffrey Donald Noard (CRD #1983392, Menomonee Falls, Wisconsin) A NAC decision became final in which Noard was fined $2,500 and suspended from association with any FINRA member in all capacities for 10 business days. NAC imposed the sanctions based on findings that […]

Soreide Law Group (888-760-6552) obtained the following information, available to all on FINRA website under, “Disciplinary and Other FINRA Actions January 2017.” Jeffrey Alan Hill (CRD #2204945, Bemidji, Minnesota) was fined $5,000, suspended by FINRA 15 months, and required to pay $45,000 in disgorgement of commissions received for allegedly initiating hundreds of trades for two […]