Investor Alert! Complaints Against Joshua Johner, Stephen Hendy, Scott Nordblom PFS Investments Inc. (CRD#: 10111, Duluth, Georgia) is both an investment adviser firm regulated by the Securities and Exchange Commission (“SEC”) and brokerage firm regulated by the Financial Industry Regulatory Authority (“FINRA”). Currently, on FINRA BrokerCheck, the firm discloses seventeen regulatory events and two arbitrations. […]

Wells Fargo Broker David Jay Homan Guilty Of Misappropriation David Jay Homan (CRD#: 1516973, Bay City, Michigan) is a prior financial advisor of Wells Fargo Advisors, LLC who entered a guilty plea to felony embezzlement. Homan pleaded guilty on November 21, 2018 in a Bay County, Michigan Court, and now faces 15 years behind bars. […]

Soreide Law Group obtained the following from FINRA’s website under, “Discipline and Other FINRA Actions June 2017.”  Ronald Dale Broadstone (CRD #1043159, Columbus, Ohio) was barred from association with any FINRA member in all capacities for allegedly refusing to respond to FINRA’s questions during on-the-record testimony in connection with its investigation into whether he had […]

RONALD DALE BROADSTONE CRD#: 1043159, a former broker with UBS Financial of New Albany, Ohio, has been barred by FINRA from acting as a broker or otherwise associating with firms that sell securities to the public. According to the Financial Industry Regulatory Authority Inc (FINRA) report, allegedly Broadstone refused to respond to FINRA's questions during […]

PHILIP E. MORIARTY II (CRD# 1989641), an investment advisor, pleaded guilty to defrauding investors of $1.1 million in an Illinois federal court. Moriarty plead guilty to one count of wire fraud in a scheme in which he told the investors they were buying shares in companies, when in fact, Moriarty used their money for his […]

Soreide Law Group, 888-760-6552, obtained the following information on FINRA’s website under, “Disciplinary and Other Actions January 2016.” Christopher Lawrence Norris (CRD #4007080, Lakeland, Florida) was barred by FINRA for allegedly misappropriating $19,873.19 from a property owners association for which he served as a treasurer and sat on its board of directors. FINRA’s findings stated […]

Tricia Denise Willis (CRD #5703572, Vernon, Connecticut) Alternate Name: TRICIA DENISE LIPARELLI was barred by FINRA for allegedly converting a client’s funds and signed the client’s name on withdrawal slips without authorization. Willis solicited a personal loan from a friend, who was also a client of her bank, and requested that the client permit her […]

Florida-based Soreide Law Group, (888) 760-6552, obtained the following summation of information from FINRA's website “Disciplinary and Other FINRA Actions May, 2015.” Kamran Daryush Nougzust (CRD #5787549, Pembroke Pines, Florida) was barred by FINRA for allegedly failing to provide FINRA-requested documents and information involving an investigation into allegations that he improperly obtained approximately $99,500 from […]

BRYAN A. CARNAHAN (CRD# 3103811), a former broker with Huntington Bank in Hilliard, Ohio, was barred by FINRA early in May for allegedly stealing approximately $170,000 from a client's brokerage account to cover his other clients' investment losses. FINRA reported that Carnahan had his client withdraw funds from her bank account and get cashier's checks […]