Securities Broker Kevin Graetz Allegedly Sold Scam Belize Fund Investment Investor Alert! The Securities and Exchange Commission (“SEC”) announced charges against barred broker Kevin Richard Graetz (CRD#: 1935982, New York, New York) for his role in purportedly selling sham Belize Infrastructure Fund I promissory notes. Additionally, the Financial Industry Regulatory Authority (“FINRA”) shows that 9 […]

Broker Steve Netzel Allegedly Recommended Unsuitable Alternative Investments Soreide Law Group is reviewing possible claims of unsuitable sales or recommendations by securities broker Steve Netzel (CRD#: 2863170, Sun Lakes, Arizona). Namely, at least one client of Kalos Capital challenged Netzel’s investment recommendations suggesting that he gave bad advice. Also, Arizona Corporation Commission censured him from […]

ALAN NEW Charged In SEC Complaint Soreide Law Group is evaluating possible claims on behalf of investors who sustained losses from NYLife Securities LLC broker Alan New (CRD#: 2892508, Fort Wayne, Indiana). Notably, SEC filed a Complaint against New on December 17, 2018 in the United States District Court for the Southern District of Indiana […]

The Soreide Law Group (888-760-6552) obtained the following information on FINRA’s website under, Disciplinary and Other FINRA Actions December 2016.” Kenley Brisard (CRD #2641960, Weston, Florida) FINRA Case #2010022046101 Philip Brisard (CRD # 2646923, Wellington, Florida) FINRA Case #2010022046101 Were both barred by FINRA for allegedly selling an unregistered security that consisted of interest-only strips […]

F The following information was obtained by Soreide Law Group (888-760-6552) from FINRA’s website under, “Disciplinary and Other FINRA Actions, July 2016.” LIZABETH G. TY (CRD #4737319, Sugarland, Texas) Alternate Names: LIZABETH ROWENA GOTUACO, BETH GOTUACO TY was barred by FINRA for allegedly failing to provide FINRA with requested documents and information during the course […]

Darren C. Goodrich (CRD #4213469, Manhattan Beach, California) was fined $10,000 and suspended by FINRA for 30 days because on behalf of certain clients, Goodrich allegedly sold certain shares of an issuer whose securities were not registered and were not subject to an applicable exemption from registration. FINRA's findings stated that Goodrich’s clients allegedly deposited […]

Soreide Law Group, Securities Arbitration Law Firm (888) 760-6552, recently obtained this information from the FINRA website under “Disciplinary and Other FINRA Actions, January, 2015.” BMA Securities aka Burt Martin Arnold Securities, Inc. (CRD #108219, El Segundo, California) was censured, fined $325,000 and ordered to retain, within 30 days of the date of the Notice […]

JODIE L. MILLER (CRD# 4772684) was suspended by FINRA for 18 months and a fined $53,225, included in this figure was a disgorgement in the amount of $38,225 plus interest. This was due to Miller's alleged "selling away" securities in Tri-Med Corporation. According to the reports, in 2012 Miller allegedly participated in the private sales […]

BRUCE MEYERS (CRD# 1045447), owner and CEO of Meyers Associates, New York, was sued by the Financial Industry Regulatory Authority Inc. (FINRA) for alleged improper marketing of an unregistered securities offering of a pharmaceutical company. Meyers and another firm exec were the majority owners of the company, SignPath Pharma Inc. According to FINRA, Meyers Associates, […]