Soreide Law Group is currently investigating, on behalf of our clients, NEXT FINANCIAL GROUP, INC. based in Houston, TX, and their former registered representative in Frisco, TX, TYE CALVIN WILLIAMS CRD#: 1271046. FINRA has barred Tye Williams from acting as a broker or otherwise associating with firms that sell securities to the public. In September […]

Tricia Denise Willis (CRD #5703572, Vernon, Connecticut) Alternate Name: TRICIA DENISE LIPARELLI was barred by FINRA for allegedly converting a client’s funds and signed the client’s name on withdrawal slips without authorization. Willis solicited a personal loan from a friend, who was also a client of her bank, and requested that the client permit her […]

Louis James Deeley (CRD #5830647, Santa Rosa, California) AKA: LOUIS POPP III was barred by FINRA for allegedly converting $24,014 from the bank account of his firm’s client for his own personal use and benefit. FINRA's findings stated that on separate occasions, Deeley submitted completed withdrawal slips to a bank teller containing a signature that […]

Tammy Charlene Petersen (CRD #4161501, Carrollton, Virginia) aka TAMMY CHARLENE BARBER, TAMMY CHARLENE BARBER, TAMMY CHARLENE BROUSSARD, TAMMY CHARLENE BROUSSARD, or TAMMY PETERSEN was barred by FINRA for allegedly converting approximately $107,378 from her member firm clients for her own personal use and benefit without the clients’ knowledge or consent. FINRA's findings stated that Petersen […]

Patrick James Manriquez (CRD #4073542, Beaumont, Texas) was barred by FINRA for allegedly converting $20,000 from his member firm’s client for his own personal use. FINRA's findings stated that Manriquez did this by submitting outgoing wire transfer requests, which the client had not authorized, causing the firm to wire the funds from an account the […]

Randall A. Samson (CRD #2691518, Manteca, California) was barred by FINRA for allegedly converting $10,000 from the 401(k) account of an employee, who was also a client, of his member firm. FINRA's findings stated that Samson, without the individual’s knowledge or consent, used his position as the plan’s trustee to complete a $10,000 distribution from […]

Michael Edward Donnelly (CRD #2276988, Newark, Delaware) was barred by FINRA for allegedly failing to provide FINRA with requested information and documentation for an investigation related to allegations that he converted client funds. According to FINRA, after Donnelly received a second request, he informed FINRA that he would not cooperate or provide the requested information […]

Clark Smith Gardner (CRD #2930356, Orem, Utah) was barred by FINRA member for allegedly converting client funds for his own use and benefit. FINRA's findings stated that Gardner's client gave him a check for $243,000 to invest, however Gardner deposited that check into his own personal bank account and did not invest any of the […]

CLAUS C. FOERSTER (CRD# 1912949) was barred by FINRA for allegedly soliciting his clients to invest in a fictitious entity marketed by Foerster as an income-oriented investment, and converting those investments for his own personal use. Foerster converted approximately $3 million from clients. FINRA's findings stated that Claus Foerster allegedly had clients move funds from […]