Latest Securities Lawyer News

Our experts keeping you up to date with our ever changing industry

Read the latest in Security Lawyer news and information

We're here to help victims of broker fraud
June 30, 2015
Former Alabama Financial Advisor Arrested and Charged with Converting $2.5 Million in Clients' Funds for His Own Personal Use

KEITH M. ROGERS (CRD# 4987615), 41, of Huntsville, Alabama, was arrested and charged with 10 counts by the Alabama Securities Commission with stock fraud. Allegedly, according to the Alabama Securities Commission, Rogers used approximately $2.5 million dollars of investors' funds to pay his own personal expenses, and used as 'Ponzi-scheme' payments to his earlier investors. […]

May 28, 2015
Former Merrill Lynch and Wells Fargo Advisor Virginia Broker Barred by FINRA for Alleged Conversion of $107,378 of Clients' Funds

Tammy Charlene Petersen (CRD #4161501, Carrollton, Virginia) aka TAMMY CHARLENE BARBER, TAMMY CHARLENE BARBER, TAMMY CHARLENE BROUSSARD, TAMMY CHARLENE BROUSSARD, or TAMMY PETERSEN was barred by FINRA for allegedly converting approximately $107,378 from her member firm clients for her own personal use and benefit without the clients’ knowledge or consent. FINRA's findings stated that Petersen […]

May 13, 2015
Former Huntington Bank Broker of Columbus Ohio Barred by FINRA for Misappropriation of Client Funds

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 […]

April 21, 2015
Former Morgan Stanley Broker from Beaumont Texas, Barred by FINRA

Patrick James Manriquez (CRD #4073542, Beaumont, Texas) was barred by FINRA for allegedly converting $20,000 from his member firm’s client for his own personal use. FINRA's findings stated that Manriquez did this by submitting outgoing wire transfer requests, which the client had not authorized, causing the firm to wire the funds from an account the […]

April 6, 2015
Massachusetts Broker Barred by FINRA for Allegedly Converting Clients' Funds for Her Own Personal Use

Nilda Lee Vasey (CRD #4842504, Dorchester, Massachusetts was barred by FINRA for allegedly converting client funds for her own personal use and benefit. FINRA's findings stated that Vasey gained access to the clients funds by requesting, and against her member firm’s policy, that her clients make their annual firm financial planning fee checks, or wire […]

March 30, 2015
Former Broker of Liberty Partners Financial, Bakersfield, CA, Barred by FINRA for Misappropriation of Client's Funds

RONALD P. RAFALOFF (CRD# 1045883) former broker from Bakersfield, California, was barred by FINRA for allegedly using the investment of a 74 year-old woman from Red Bank for his own personal use, guaranteed the client against losses, and making false statements to his employer. According to FINRA, the client made a $405,000 investment with Rafaloff, […]

March 12, 2015
Alabama Broker Pleads Guilty to $3.1 Million Ponzi Scheme

BRYAN W. ANDERSON (CRD# 3116269), 40 year old broker, from Hoover, Alabama, pled guilty to a Ponzi scheme which dozens of investors lost a total of $3.1 million. Anderson, acting as their broker, promised his clients that the investments were 100 percent risk free. Anderson pled guilty to wire fraud, money laundering, and securities fraud […]

February 26, 2015
Texas Broker Barred by FINRA for Misusing Client Funds

William Charlton Mays (CRD #2693626, Corpus Christi, Texas) was barred by FINRA and ordered to pay $10,000, plus interest, in restitution to a client for allegedly converting and misusing a client’s funds for his own benefit. FINRA's findings stated that Mays received a $50,000 check after soliciting the cleint to invest in stocks and commodities. […]

January 19, 2015
Florida Broker Barred by FINRA for Conversion of Client's Funds

The Florida-based Soreide Law Group obtained this summation of information from FINRA's Website under "Disciplinary and Other Actions, January, 2015." Jamie David Pope (CRD #4172805, Winter Park, Florida) was barred from association by FINRA for allegedly converting funds from a client of his member firm which were provided to him for the express purposes of […]

1 2 3 13
Contact us Nationwide USA
2401 E. Atlantic Blvd., Suite 305, Pompano Beach, FL 33062
Helping clients recover money across the USA
search
Copyright © 2022 Soreide Law Group, PLLC  |  All Rights Reserved