Alexander Capital's Barry Eisenberg Sanctioned By SEC, Involved In Disputes Alleging Failure To Supervise Investors have come forward to dispute the sales practices of securities broker Barry Todd Eisenberg (CRD#: 2313107, New York, New York). Specifically, FINRA shows that two investors – clients of JP Turner and Alexander Capital – filed disputes. Secondly, United States […]

Securities Broker John Cullen Targeted In Disputes From Clients Of Spartan Capital, Andrew Garret The Financial Industry Regulatory Authority (“FINRA”) reports investor disputes regarding the sales practices of securities broker John Cullen (CRD#: 5062835, Garden City, New York). Namely, this securities broker, who worked for five securities firms including Spartan Capital Securities and Andrew Garrett, […]

Soreide Law Group has handled prior actions against: JOSEPH M. FEDORKO JR (CRD# 2007317), a broker currently registered with Laidlaw & Company of Stamford, Connecticut, since 6/2009. JOSEPH M. FEDORKO JR is listed on FINRA’s BrokerCheck as having 16 customer disputes in his 26 years in the securities industry. According to the FINRA records, of the 16 […]

Soreide Law Group, (888) 760-6552, recently obtained the following information from FINRA's website under “Disciplinary and Other FINRA Actions, April, 2016.” Bahram Mirhashemi (CRD #2937037, Newport Coast, California) was barred by FINRA for allegedly churning clients accounts, engaging in excessive and unauthorized trading and making unsuitable recommendations to clients. Bahram Mirhashemi consistently spread mutual fund […]

Daryl Richard Lemon (CRD #2473133, Los Angeles, California) was barred by FINRA for allegedly executing 1,236 transactions in an elderly client’s discount brokerage account maintained at another broker-dealer without providing prior written notice, or any notice at all, to his member firm. FINRA's findings stated that Lemon periodically charged the customer amounts that he characterized […]

The Soreide Law Group has obtained the following summary of information from FINRA’s website, “Disciplinary and Other FINRA Actions, January, 2015.” James Mark McLaughlin (CRD #1925099, Westover, Alabama) was barred by FINRA for allegedly excessively trading in clients’ accounts. FINRA's findings stated that McLaughlin recommended unsuitable short-term trading of A-share mutual funds in clients’ accounts, […]

The Fort Lauderdale-based Soreide Law Group obtained the summary of information from FINRA's Website under "Disciplinary and Other Actions, November 2014." NSM Securities, Inc. (CRD #134357, West Palm Beach, Florida) and Niyukt Raghu Bhasin (CRD #2282048, Wellington, Florida) NSM Securities was expelled from FINRA membership and Bhasin the founder, owner, President and Chief Executive Officer […]

The following summation of information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2014.” Keith Andrew Halsnik (CRD #5018189, Registered Representative, Bellefonte, Pennsylvania) was barred from association with any FINRA member in any capacity. According to FINRA's findings, Keith Halsnik failed to respond to FINRA’s initial requests for information and documents […]

The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, July, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Edwin Efrain Mosquera (CRD #3049414, Registered Representative, Howard Beach, New York) was barred from association with any FINRA member in any capacity. In light of Mosquera’s financial status, […]