Soreide Law Group is looking into possible investor claims against securities broker Fernando Silva (CRD: 7326519, Tucson, Arizona). Particularly, FINRA sanctioned the securities broker, who worked for Morgan Stanley. Allegedly, Silva did not cooperate with a FINRA investigation. Here is a brief summary of FINRA’s allegations against Silva. Silva Sanctioned By FINRA For Failure To […]

Broker Anthony Cottone Is Barred By FINRA, Involved In Dispute About Private Placements The Financial Industry Regulatory Authority (“FINRA”) reports troubling information concerning securities broker Anthony Matthew Cottone (CRD#: 4394861, Boca Raton, Florida). It appears that Cottone worked for firms Landolt Securities (2016 to 2017) and First West Group (2014 to 2016). Notably, there are […]

FINRA Bars NICHOLAS MADDOX of Laguna Niguel California The Financial Industry Regulatory Authority (“FINRA”) barred TCFG Wealth Management securities broker Nicholas Maddox (CRD#: 4732456, Laguna Niguel, California). Evidently, Maddox was either unresponsive to FINRA’s requests or did not comply with FINRA in its investigation. Here’s what we know so far: TCFG Wealth Management Terminates Nicholas […]

INVESTOR ALERT: Claims Against Citigroup Global Markets Inc. Brokers Becky Woo, John Kelly Citigroup Global Markets Inc. (CRD#: 7059, New York, New York) is both a FINRA-regulated brokerage firm and SEC-regulated investment advisory. The firm, established January 25, 1960, discloses an alarming rate of regulatory events and arbitrations on FINRA BrokerCheck. Specifically, regulators have taken disciplinary […]

Soreide Law Group, (888) 760-6552, has obtained the following summation of information from FINRA’s website, under “Disciplinary and Other FINRA Actions, January, 2015.” John Joseph Plunkett (CRD #2321368, Brooklyn, New York) was barred by FINRA and the SEC sustained the bar imposed by the National Adjudicatory Council (NAC). These sanctions were based on findings that […]

Joseph Brandon Westphal (CRD #4769381, Tampa, Florida) was barred by FINRA for failure to respond to FINRA requests to provide documents and information. FINRA's findings stated that FINRA was investigating allegations by Joseph Westphal’s previous member firm that he opened multiple accounts without approval, had stolen funds, and had committed serious ethical violations. (FINRA Case […]

James Emory Poe (CRD #5085362, Benbrook, Texas) was assessed a deferred fine of $775,000, which included the disgorgement of financial benefits received of $686,230, plus interest, and was suspended by FINRA for two years for alleged failure to provide prior written notice to or receive written approval from his member firm regarding his roles with […]

The following information has been obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, September, 2013.” Bruce Martin Harada (CRD #2324524, Registered Representative, Honolulu, Hawaii) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Harada consented to the described sanction and to the entry of findings […]

Soreide Law Group, PLLC, is a Securities Arbitration Law Firm, (888) 760-6552. The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013.” Diego Fernando Hernandez (CRD #3054186, Registered Representative, Lonetree, Colorado) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Hernandez […]