Broker George Warner Barred By FINRA, Involved In Investor Dispute Alleging Selling Away Soreide Law Group is investigating potential investor disputes to bring against securities broker George Marshall Warner Jr. (CRD#: 2300570, Staten Island, New York). Evidently, FINRA barred Warner as a securities broker in March 2021 because of him failing to comply with an […]

Oppenheimer Investors File Disputes Alleging Sales Practice Violations By Securities Broker Jeffrey Warren Soreide Law Group provides you with the following update regarding securities broker Jeffrey Warren (CRD#: 2707969, Boca Raton, Florida). It appears that as of May 28, 2021, FINRA barred Warren from acting as a securities broker or associating with a FINRA-member firm. […]

Transamerica Investors File Disputes About Barred Securities Broker Narinder Singh Soreide Law Group has important information to share with you regarding securities broker Narinder Kaur Singh (CRD#: 3100308, Sacramento, California). Evidently, Singh worked for Transamerica (2016), ProEquities (2016 to 2017) and Farmers Financial Solutions (2018 to 2019). According to a regulatory action dated August 28, […]

Stifel Nicolaus Broker Alex Perry Barred By FINRA, Facing Investor Disputes The Financial Industry Regulatory Authority (“FINRA”) barred Matthew Alexander “Alex” Perry (CRD#: 5985300, Columbia, Maryland). This means that he cannot work as a FINRA-member securities broker or otherwise associate with a FINRA-member brokerage firm. This decision is the result of an investigation by FINRA […]

FINRA Bars Securities Broker George McCaffrey Following Private Securities Transactions Investigation Soreide Law Group has news to share with you regarding sanctions and investor claims relating to George Louis McCaffrey (CRD#: 847377, Englewood, Colorado). Specifically, the securities broker, who worked for NTB Financial Corporation from 1989 through 2017, is no longer allowed to be a […]

FINRA Issues Sanction To Securities Broker Enoch Booth It appears that FINRA barred securities broker Enoch Stanley Booth (CRD#: 4370233, Columbia, South Carolina). Evidently, the financial industry watchdog decided on July 20, 2021 to bar Booth as securities broker. This is for his alleged failure to provide documents to FINRA throughout its investigation that focused […]

Securities Broker Brittney Sias (Western International Securities) Involved In Investor Disputes Soreide Law Group has news to share with you in regard to securities broker Brittney Jade Sias (CRD#: 4274432, Westlake Village, California), who also goes by the name Rosalie Sias. Notably, Financial Industry Regulatory Authority (“FINRA”) shows that two investors filed disputes about the […]

FINRA Bars LPL Financial Securities Broker Rhett Bedwell After Investigating Client Disputes, Termination From LPL The Financial Industry Regulatory Authority (FINRA) barred securities broker Rhett Douglas Bedwell (CRD#: 5664392, Rogers, Arkansas). This is to resolve allegations of his misconduct during the regulator’s investigation into his possible misuse of a client’s funds and possible forgery when […]

Wedbush Securities Broker Marc Winters Barred By FINRA For Not Responding To Regulator's Request Soreide Law Group has important information to share with you regarding securities broker Marc Winters (CRD#: 4053113, Los Angeles, California). Notably, Financial Industry Regulatory Authority (“FINRA”) barred Winters, who worked as a securities broker for Wedbush Securities from 2004 to 2020. […]