TYLER DEAN DELAHUNT (TYLER DELAHUNT, CRD#: 4419594), formerly with Merrill Lynch of Atlanta, Georgia, was barred by FINRA on January 25, 2021, from acting as a broker or otherwise associating with a broker-dealer firm. Delahunt was previously registered both as a broker and as an investment advisor. Without admitting or denying FINRA’s findings, TYLER DELAHUNT […]

Soreide Law Group obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions January 2018.” Masood Husain Azad (CRD #4798445, Houston, Texas) was barred by FINRA for allegedly failing to provide FINRA-requested documents and information in connection with its investigation into allegations of misconduct by him while associated with his former member […]

On November 15, 2017, JERRY LOU GUTTMAN (CRD#: 1078383), a former broker with United Planners Financial Services, Phoenix, Arizona, was barred by the Financial Industry Regulatory Authority (FINRA) for allegedly engaging in private securities transactions without his firm's prior approval. According to FINRA, from September 2008 through May 2017, Guttman participated in private securities transactions […]

Soreide Law Group, based in South Florida, obtained the following information from FINRA’s Disciplinary Report June 2017 on South Florida broker:  Leon Edward Dixon (LEON E DIXON) (CRD #723675, Miami, Florida) was assessed a deferred fine of $7,500 and suspended by FINRA for five months for allegedly participating in private securities transactions without notifying his […]

In August, FINRA suspended top producing advisor, ADAM D. ESTES (CRD# 4089657), of Hilliard Lyons, Bloomington, Indiana, for 15 months, and fined Estes $15,000. Allegedly, Estes engaged in 11 private securities transactions without his firm's permission which totaled over $1.2 million between May of 2012, and March of 2014.  Estes provided about $652,000 and other […]

The Pompano Beach, Florida-based Soreide Law Group obtained the following information on FINRA’s website under, “Disciplinary and Other FINRA Actions, August 2016.” DENNIS M. MERRITT (CRD# 1748115 Palm Harbor, Florida) was suspended by FINRA for four months and in light of Merritt’s financial status, no monetary sanction was imposed, due to allegations that Merritt participated […]

Soreide Law Group obtained the following information from FINRA’s Disciplinary Reports: Walter Rae Chao (CRD #4665787, Redwood City, California) was assessed a deferred fine of $30,000, suspended by FINRA for two years and required to requalify as a general securities principal by passing the Series 24 examination before associating with any FINRA member firm as […]

Michael Willard Korson (CRD #2108802, Novi, Michigan) was barred by FINRA for allegedly failing to timely and accurately notify his member firm of his outside business activities. Although Korson eventually provided notice to his firm and revealed that he received compensation from the outside business, he falsely stated when his involvement first began. FINRA's findings […]

[fusion_builder_container hundred_percent="no" equal_height_columns="no" menu_anchor="" hide_on_mobile="small-visibility,medium-visibility,large-visibility" class="" id="" background_color="" background_image="" background_position="center center" background_repeat="no-repeat" fade="no" background_parallax="none" parallax_speed="0.3" video_mp4="" video_webm="" video_ogv="" video_url="" video_aspect_ratio="16:9" video_loop="yes" video_mute="yes" overlay_color="" video_preview_image="" border_size="" border_color="" border_style="solid" padding_top="" padding_bottom="" padding_left="" padding_right=""][fusion_builder_row][fusion_builder_column type="1_1" layout="1_1" background_position="left top" background_color="" border_size="" border_color="" border_style="solid" border_position="all" spacing="yes" background_image="" background_repeat="no-repeat" padding="" margin_top="0px" margin_bottom="0px" class="" id="" animation_type="" animation_speed="0.3" animation_direction="left" hide_on_mobile="small-visibility,medium-visibility,large-visibility" center_content="no" last="no" min_height="" […]