Former Bank of America Merrill Lynch broker, James R. Lanier of Tallahassee, Florida, pleaded guilty to 22 counts of fraud and related charges last November. He was sentenced to 8 years and 10 months in federal prison, and ordered to pay $887,931 in restitution. Also, the Securities and Exchange Commission (SEC) banned him from the […]

Greg J. Campbell, a financial advisor from Ladue, Missouri, was sentenced to 38 months in prison, restitution in the amount of $1,851,956, and was ordered to forfeit his home. He pled guilty to diverting more than $1.8 million from client retirement accounts to finance his lavish lifestyle. According to court documents, from June 2006 until […]

Greg J. Campbell, a financial advisor from Ladue, Missouri, was sentenced to 38 months in prison, restitution in the amount of $1,851,956, and was ordered to forfeit his home. He pled guilty to diverting more than $1.8 million from client retirement accounts to finance his lavish lifestyle. According to court documents, from June 2006 until […]

Fredrick McMenimen III of Exeter, New Hampshire, will go on trial in January, after a federal judge found him mentally competent to stand trial. Federal prosecutors in New Hampshire say the financial advisor allegedly bilked widowed friends of his wife and mother out of more than $1 million. The 50-year-old McMenimen allegedly spent the money […]

The following summation was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, October, 2013.” Mark Christopher Hotton (CRD #2346843, Registered Principal, West Islip, New York) was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations, Hotton consented to the described sanction and to the entry of […]

The following summation was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, October, 2013.” Mark Christopher Hotton (CRD #2346843, Registered Principal, West Islip, New York) was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations, Hotton consented to the described sanction and to the entry of […]

Soreide Law Group, (888) 760-6552, obtained the information below on FINRA’s website under “Disciplinary and Other FINRA Actions, September, 2013.” Randy Willis Hayes III (CRD #5361647, Registered Representative, West Palm Beach, Florida) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Hayes withdrew, or failed to […]

Soreide Law Group, PLLC, (888) 760-6552, obtained he following information on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013.” Christopher Francis Smith (CRD #2710455, Registered Representative, Hicksville, New York) was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations, Smith consented to the described sanction and […]

Soreide Law Group, PLLC, (888) 760-6552, obtained he following information on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013.” Christopher Francis Smith (CRD #2710455, Registered Representative, Hicksville, New York) was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations, Smith consented to the described sanction and […]