CHAD MICHAEL ROGERS (CHAD M ROGERS), was formerly registered as a broker with IFP Securities LLC, of Oklahoma City, Oklahoma from 06/02/2022 - 09/15/2023, and before IFP he was registered as a broker with The O.N. Equity Sales Company, of Oklahoma City from 04/25/2013 - 06/01/2022. According to FINRA’s BrokerCheck, CHAD M ROGERS was previously registered […]

Soreide Law Group is investigating possible investor claims against Jay Eng (also known as Jay William Eng) (CRD: 2241817, Torrance, California). Evidently, FINRA sanctioned the securities broker, who worked for Kinecta Financial Insurance Services. Here is a brief summary of FINRA’s allegations against Eng. But keep in mind that Eng denies the allegations against him. […]

Martin Ray Evans (Marty Evans) CRD#: 2412900, a former Ameriprise broker from Mitchel Field, New York, was fined $5,000.00 and suspended 45 days (12/7/2020 - 1/20/2021) by FINRA for allegedly impersonating clients while trying to obtain their account information. According to the FINRA report, without admitting or denying the findings, Martin Ray Evans consented to […]

Kenneth William Schulz (CRD #4605235, Tomahawk, Wisconsin) was barred by FINRA for allegedly directing a registered assistant to impersonate Schulz's former clients. The assistant was told to make phone calls to Schulz's former firm and request that the client's accounts be liquidated, then they could invest with Schulz at his new firm. FINRA's findings stated […]

Kenneth Doyle Brownlee (CRD #1277737, Spartanburg, South Carolina) was fined $7,500 and suspended by FINRA because he allegedly, on 13 occasions, contacted an annuity company and impersonated three of his customers. Brownlee did this in order to effect distributions, which had been authorized by the customer, from their annuity contracts. This totaled $35,500. According to […]

Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013.” Giancarlo Ciocca (CRD #4252148, Registered Representative, Coral Gables, Florida) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Ciocca consented to the […]

This information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” Timothy Joseph Golonka (CRD #1792138, Registered Representative, Collegeville, Pennsylvania) was fined $20,000 and suspended from association with any FINRA member in any capacity for 18 months. The NAC imposed the sanctions following appeal of an OHO decision. The sanctions were based […]

The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” Earl William Fay (CRD #2492793, Registered Representative, Milton, Massachusetts) was fined $7,500 and suspended from association with any FINRA member in any capacity for 30 business days. Without admitting or denying the findings, Fay consented to the described sanctions and […]