Soreide Law Group is investigating possible investor claims against securities broker Barbaraann Bernatzky AKA Barbara Ann Bernatzky and Barbara Ann Washeim [CRD#: 2535421, Shoreham, NY]. Notably, FINRA sanctioned the securities broker, who worked for Henley Company. Allegedly, Bernatzky failed to testify when FINRA investigated the stockbroker for possible violations of FINRA rules. Here is a […]

Soreide Law Group is investigating possible investor claims against securities broker Charles Baker AKA Charles Ronald Baker AKA Ron Baker [CRD#: 10600, Lubbock, TX]. Evidently, FINRA sanctioned the securities broker, who worked for Richfield Orion International. Allegedly, Baker failed to testify when FINRA investigated the stockbroker for possible violations of FINRA rules. Here is a […]

Cadaret Grant Client Alleges Unsuitable OTC Trades By Broker Gerald Dewes The Financial Industry Regulatory Authority (FINRA) contains new disclosures in regard to securities broker Gerald Roger Dewes (CRD#: 2465538, East Amherst, New York). Namely, Dewes, who used to work for securities firm Cadaret Grant Co., faces investor disputes. Not only that, but FINRA barred […]

Securities Broker Robert Barnard Is Barred By FINRA And Is Facing Disputes From Principal Securities Clients Soreide Law Group comes to you with important information regarding securities broker and financial advisor Robert Barnard (CRD#: 5504882, Las Cruces, New Mexico). Notably, the Financial Industry Regulatory Authority (FINRA) barred Barnard to settle allegations that he violated FINRA […]

Regulator Issues Sanctions To MassMutual Broker Matthew White Soreide Law Group is evaluating possible investor disputes concerning Matthew Leon White (CRD#: 5365185, Little Rock, Arkansas). Evidently, the securities broker worked for securities firms Northwestern Mutual investment Services (January 2009 to June 2015) and MML Investors Services “MassMutual” (June 2015 to June 2018). Notably, he is […]

Broker Dennis Mehringer Barred For Refusing To Testify About Investment Advice Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming allegations of improprieties by Western International Securities broker Dennis Albert Mehringer Jr. (CRD#: 722569, Pasadena, California). Notably, no less than 11 clients contested his sales practices. Not only that, but FINRA barred Mehringer for […]

The following information is from FINRA's website under, "Disciplinary and Other FINRA Actions, May, 2012." Philip Christopher Crescimanno (CRD #4412658, Registered Representative, Land O’Lakes, Florida) submitted an Offer of Settlement in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations, Crescimanno consented to the described […]

The following information is from FINRA’s website under “Disciplinary Actions, April, 2012:”   James Landon Yarbrough (CRD #703889, Registered Representative, Clearwater, Florida) was barred from association with any FINRA member in any capacity. The Hearing Officer did not order restitution because FINRA’s Department of Enforcement represented that the customer has been made whole by the […]

David Angelo Maltese (CRD #2562471, Registered Representative, Boca Raton, Florida)   submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity.   The article states that without admitting or denying the findings, Maltese consented to the described sanction and to the entry of […]