Broker Margareta Childs Barred For Failing To Comply With FINRA Request Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) shows troubling information in regard to Financial West Group and Western International Securities broker Margareta Childs [CRD#: 1495891, Irvine, California]. Not only has FINRA barred the securities broker for being elusive, but at least 2 clients […]

RBC Capital Market's Lisa Lowi Allegedly Made Unsuitable Bond Trades Soreide Law Group is reviewing possible investor claims against RBC Capital Markets securities broker Lisa Lowi (CRD#: 1347790, Boca Raton, Florida). Namely, the Financial Industry Regulatory Authority (“FINRA”) reports that 39+ clients brought disputes about her sales practices. Not only that, but FINRA barred Lowi […]

MARK SACHSE Barred By FINRA The Financial Industry Regulatory Authority (“FINRA”) barred Ameriprise Financial Services Inc. broker Mark Sachse (CRD#: 5155260, Overland Park, Kansas) for not complying with a FINRA probe. Notably, the FINRA BrokerCheck Report for Sachse shows that FINRA made a “request for information” which Sachse failed to answer. Supposedly, FINRA inquired into […]

SEAN BRADY Barred, Sued By Investors The Financial Industry Regulatory Authority (“FINRA”) barred First Allied Securities Inc. broker Sean Brady (CRD#: 4365173, St. Louis, Missouri). Evidently, Brady – who First Allied discharged on November 15, 2017 for falsifying clients’ documents – evidently stonewalled a FINRA investigation. That investigation supposedly concerned Brady’s sales practice violations at […]

NICOLAS BARRIOS Expelled By FINRA The Financial Industry Regulatory Authority (“FINRA”) announced it expelled UBS Financial Services Inc. securities broker Nicolas Barrios (CRD#: 2122824, Winter Haven, Florida). Evidently, Barrios – who worked for UBS as a Production Branch Manager from November 14, 2008 to May 15, 2019 – consented to the sanction of a bar […]

GEORGE CRAIG MERHOFF Barred By FINRA The Financial Industry Regulatory Authority (“FINRA”) confirmed June 14, 2019 that it barred Cetera Advisors LLC securities broker George Craig Merhoff Jr. (CRD#: 2918171, Klamath Falls, Oregon) from the securities industry. Evidently, Merhoff executed Letter of Acceptance, Waiver, and Consent (“AWC”) #:2018057331001 on June 3; FINRA accepted it June […]

JAMES LYONS Cause Your Investment Losses?  Soreide Law Group is reviewing possible claims on behalf of investors who lost money investing with Raymond James & Associates, Inc. (“Raymond James”) securities broker James Lyons (CRD#: 1020397, Shreveport, Louisiana), who FINRA barred on June 4, 2018. Notably, the Financial industry Regulatory Authority (“FINRA”) shows that at least […]

Scott Dee Barker (CRD #4754577, Layton, Utah) was barred by FINRA for allegedly failing to provide FINRA-requested documents and information in connection with an investigation into whether he misused insurance premiums for business and/or office expenses. (FINRA Case #2014041073701) FINRA has permanently barred Scott Dee Barker from acting as a broker or otherwise associating with […]

The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” Steven Robert Aron (CRD #4664318, Registered Representative, Agoura Hills, California) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Aron consented to the described sanction and to the entry of findings that […]