Soreide Law Group, based in South Florida, obtained the following information from FINRA’s May 2018 Disciplinary Report on Miami broker:  Thomas Alan Meier (CRD #1146044, Miami, Florida) Meier was barred by FINRA for allegedly effecting approximately 1,290 unauthorized transactions, including both purchases and sales of equity securities, in eight accounts belonging to six clients. FINRA’s […]

On April 20, 2017, the former South Florida broker, SCOTT ALLEN SIBLEY (CRD#: 1523981) was barred by the Financial Industry Regulatory Authority Inc. (FINRA) for allegedly making unauthorized trades for one client, making unsuitable recommendations for 10 clients, and creating false records of the trades. FINRA stated that Sibley was employed at Raymond James, November […]

CRAIG DAVID DIMA (CRAIG DIMA) CRD#: 2314389 was barred by FINRA after allegations that CRAIG DIMA cost his client hundreds of thousands of dollars trading Colgate-Palmolive stock without her permission. CRAIG DIMA, who was with K.C. Ward Financial in Ronkonkoma, NY, at the time, cost the 73-year-old retiree $575,000 in charges and lost dividend payments […]

Soreide Law Group is currently investigating complaints from investors regarding: CAERON A. MCCLINTOCK (CRD# 3206481) Alternate Names: CAERON MCCLINTOCK, RON A MCCLINTOCK   McClintock is a New York-based broker formerly with Spartan Capital Securities.  Currently, McClintock has two pending customer disputes alleging unauthorized trading, churning, unsuitable investments, and more. His most recent complaint was filed […]

The Florida-based, Soreide Law Group, obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions, September 2016.” ELLIOT HARRIS (CRD# 2496586), Delray Beach, Florida) was barred by FINRA for allegedly failing to provide FINRA with requested documents and information during the course of FINRA's investigation into allegations that he recommended unsuitable trades […]

The Financial Industry Regulatory Authority (FINRA) accused a New York broker with K. C. Ward Financial of Long Island, with charging a 72-year-old retiree $376,000 in fees and commissions after allegedly making repeated unauthorized trades of her Colgate-Palmolive Co. stock. CRAIG D. DIMA (CRD# 2314389), of K.C. Ward Financial, was charged with making unauthorized and […]

Raymond Thomas Clark (CRD #3120696, Williamsville, New York) was barred by FINRA for failing to appear for FINRA-requested on-the-record testimony. This request was related to an investigation into whether he allegedly executed excessive and/or unauthorized transactions in customer accounts, exercised discretion without authorization, and accepted trade instructions from an individual who was not authorized to […]

The Fort Lauderdale-based Soreide Law Group has obtained the following summation of information from FINRA's Website under "Disciplinary and Other Actions, November 2014." Herbert Leonard Kaye (CRD #265572, Delray Beach, Florida) was assessed a deferred fine of $25,000, which includes disgorgement of $11,000 of commissions and was suspended by FINRA for four months for allegedly […]

Soreide Law Group, obtained the following summary of information from FINRA’s website under “Disciplinary and Other FINRA Actions, October, 2014.” Craig Shiver Smith (CRD #3103610, Birmingham, Alabama) was barred by FINRA for alleged unauthorized trades in a customer’s account, and exercised time and price discretion without written authority from the client. FINRA's findings stated that […]