Title goes here The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of misconduct by securities broker Mark Boucher (CRD#: 2187695, Carlsbad, California). Namely, on Boucher’s FINRA BrokerCheck report, there are two investor disputes indicating that he did something really bad. We can also see that two investment firms disaffiliated with him on bad terms. […]

Stifel Nicolaus Broker Barred After Pleading Guilty To Fraud Soreide Law Group is investigating potential investor claims for losses caused by securities broker Mitchell Yanow (CRD#: 2148171, Boca Raton, Florida). Notably, the Securities and Exchange Commission (“SEC”) barred the securities broker, who associated with Stifel, Nicolaus & Company, Incorporated (“Stifel Nicolaus”) from 2015 to 2018. […]

SEC Contemplating Barring ERNEST ROMER The Securities and Exchange Commissions issued an Order February 22, 2019 commencing administrative proceedings to determine whether to bar securities broker Ernest Romer III (CRD#: 2311741, Shelby Township, Michigan). Evidently, SEC initiated these proceedings due to Romer’s criminal conviction on 13 counts of embezzlement. Here's more on the alarming allegations […]

CHRISTOPHER LEE HIBBARD (CHRIS HIBBARD) CRD#: 3176484, a financial advisor formerly with Merrill Lynch of Louisville, Kentucky, was barred by FINRA February 7, 2018, from acting as a broker or otherwise associating with a broker/dealer firm following an internal investigation which also found he had allegedly made unauthorized transactions. According to FINRA’s BrokerCheck, Merrill Lynch […]

KIMBERLY PINE KITTS (CRD#: 2768200), a 51 year-old financial advisor from Massachusetts, was charged with defrauding multiple clients of  over $3 million from the client investment and retirement accounts, according to the SEC complaint filed in federal court. Kitts was formerly with Royal Alliance Associates of Palmer, Massachusetts, which does business as Marquis Consulting, which […]

The SEC has obtained an order to freeze the assets of a former LPL Financial broker who allegedly misappropriated $2.8 million from her clients.  SONYA D CAMARCO (Also known as:  SONIA D FATCHETT, SONYA D FATCHETT, SONYA D FATCHETT-CAMARCO) CRD#: 2427529 According to the SEC, Camarco allegedly took the money from her clients over a […]

A THOMAS EDWARD ANDREWS (TOM ANDREWS) CRD#: 4587953, a broker formerly with LPL Financial in Salt Lake City, Utah, has been charged with defrauding 23 investors by the SEC.  Andrews is currently in federal prison. Included in these charges are Andrews’ former assistant, Scott Christensen, who also is in prison. The latest complaint filed by […]

BRADLEY T. SMEGAL (CRD# 716056), a 63 year-old former Wells Fargo investment adviser in Minnealpolis is facing federal securities fraud charges for allegedly stealing more than $5 million from clients. In a statement released July 19, 2016, Minnesota U.S. Attorney stated that Bradley T. Smegal is facing two counts of securities fraud. Allegedly from 2007 […]

Soreide Law Group (888-760-6552) found the following information from FINRA's Disciplinary Report, March 2016. Richard A. McGuire (CRD #4637028, Bay Shore, New York) Alternate Names: RICH ALLEN MCGUIRE, RICH MCGUIRE was barred by FINRA and ordered to pay $95,000, plus interest, in restitution to a client’s estate. The NAC  (National Adjudicatory Council a FINRA committee […]