Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” Thomas Gerald Recck (CRD #2703877, Registered Representative, Wethersfield, Connecticut) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Recck consented to the […]

The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” Todd Lloyd Goedeke (CRD #1210932, Registered Principal, Howards Grove, Wisconsin) was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations, Goedeke consented to the described sanction and to the entry of findings that […]

The Soreide Law Group, PLLC, is a Securities Arbitration Law Firm, (888) 760-6552, and obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, May, 2013.” Raphael Huaman (CRD #5868404, Registered Representative, Miami, Florida) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Huaman […]

The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, February, 2013.” Martin Benjamin Feibish (CRD #205556, Registered Representative, Providence, Rhode Island) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Feibish consented to the described sanction and to the entry of findings that […]

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The Securities and Exchange Commission (SEC) today, January 29th., 2013, on it's website announced that it has charged a former managing director of Jefferies & Co., Inc. (Jefferies), a New York-based broker-dealer, with making misrepresentations and engaging in misleading conduct while he sold mortgage-backed securities (MBS) in the wake of the financial crisis. The SEC […]

The Securities and Exchange Commission, also known as the 'SEC,' has filed 734 enforcement actions the fiscal year that ended Sept. 30, 2012. That is one less than last year’s record of 735. The SEC’s report should remind investors that investment fraud is still a threat to investors. The SEC filed 147 enforcement actions in […]

The following article appeared in the "Tewksbury Advocate:" "Tewksbury scam victims win $155,250 settlement By Steve Adams GateHouse News Service Tewksbury — A Tewksbury couple who lost $255,000 to a Quincy financial adviser’s investment scam have won a $155,250 settlement. An arbitrator ruled last week that Harvest Financial LLC must repay a Tewksbury couple because […]

Jason T. Knapp, Corinth, New York, was arrested in connection with a nationwide Ponzi scheme, which allegedly involves hundreds of thousands of dollars. Knapp was a registered representative of Dawson James Securities of Boca Raton, FL, and had raised investment capital with a company call SteepleChase Group, making claims that returns on investments would be […]