Soreide Law Group obtained the following information fro:m FINRA’s Disciplinary Report and BrokerCheck: ERIC S. DARTY (ERIC DARTY) CRD#: 6314905 a broker formerly with BBVA Securities in Birmingham, Alabama, was barred by FINRA on February 14, 2017, for failing to cooperate with a FINRA investigation into alleged misconduct. The FINRA report stated that ERIC DARTY […]

Sergey Pustelnik (CRD #4439199, Jersey City, New Jersey) was barred by FINRA for refusing to produce FINRA requested emails in his possession, custody and control, as part of an investigation into, among other things, certain suspicious trading activities occurring through a member firm. FINRA's findings stated that Pustelnik refused to produce a copy of a […]

Michael Gregg Lieberman (CRD #5266225, Huntersville, North Carolina) was barred by FINRA for allegedly failing to provide FINRA-requested documents and information regarding an investigation into allegations that he may have converted approximately $1.4 to $1.6 million of his member firm’s funds. The findings stated that Lieberman informed FINRA that he would not cooperate with FINRA’s […]

Chase Bishop Casson (CRD #4404195, Carlsbad, California) was barred by FINRA for allegedly failing to provide FINRA with requested information and documentation as part of an investigation into whether he was engaged in private securities transactions. FINRA's findings stated that after receiving a fourth request, Casson informed FINRA that he would not cooperate or provide […]

Blair Christopher Mielke(CRD #1878222, Evansville, Indiana) and Frederick William Shultz(CRD #5239977, Evansville, Indiana) were barred by FINRA for allegedly participating in undisclosed private securities transactions, engaging in undisclosed outside business activities, and failure to report their outside business activities to their firm. FINRA's sanctions also alleged that Shultz and Mielke failed to respond to FINRA’s […]

Soreide Law Group, PLLC, a Securities Arbitration Law Firm, (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, May, 2013.” Andrew Lewis Pittman (CRD #732632, Registered Representative, Deerfield Beach, Florida) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Pittman consented […]

The Soreide Law Group, PLLC, a Securities Arbitration Law Firm, (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, April, 2013.” Roman Jerzy Sledziejowski (CRD #3141438, Registered Principal, Ossining, New York) was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations, Sledziejowski […]