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. […]

PHILIP E. MORIARTY II (CRD# 1989641) an investment advisor from Maine, was recently accused of six counts of wire fraud. A grand jury in Chicago indicted him on the charges relating to the allegations that he defrauded investors of approximately $1.1 million while he was CEO of First Street Capital Partners in Chicago 2008 - […]

This information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Jon Eric Guay (CRD #2837453, Registered Representative, San Jose, California) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Guay consented […]

This information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Jon Eric Guay (CRD #2837453, Registered Representative, San Jose, California) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Guay consented […]