ATTENTION INVESTORS: Customer Fraud Claim Concerns CFD INVESTMENTS, BRETT BACON Brett Michael Bacon (CRD#: 6080375, Lenexa, Kansas) is presently a securities broker of CFD Investments, Inc. The Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Report for Bacon shows that CFD Investments customers complained about his activities. The matter, summarized below, raises allegations of the firm or […]

ATTENTION INVESTORS: Losses from Capital Financial Services Broker Steven Knuttila? Financial Industry Regulatory Authority (FINRA) barred Capital Financial Services Inc. broker Steven Roland Knuttila (CRD#: 3039112, Perham, Minnesota) from the securities industry for making bad recommendations to customers. Notably, Mr. Knuttila, who was employed with Capital Financial Services, Inc. between June 4, 2012 and December […]

The following summation of information was obtained by Soreide Law Group (888-760-6552) from FINRA's Website under "Disciplinary and Other Actions April 2015." EDI Financial, Inc. (CRD #15699, Irving, Texas) was censured and fined $100,000 by FINRA for allegedly failing to adopt and implement supervisory systems and procedures reasonably designed to achieve compliance with EDI Financial’s […]

Carolina Financial Securities, LLC (CRD #41970, Brevard, North Carolina) was censured and fined $50,000 by FINRA for allegedly selling an unregistered private placement offering to their investors for approximately $1.1 million. FINRA's findings stated that allegedly Carolina Financial Securities failed to follow their own procedures in regards to the selling of private placements and conduct […]