Joshua Daniel Mosshart, General Securities Representative and General Securities Principal CRD No. 3174050 According to FINRA in May, 2011, Joshua Mosshart had asked permission from his firm, LPL Financial, to be an Enviro Board sales representative. Mosshart was approved by LPL and was told not to solicit investors in Enviro Board. This would require Mosshart […]

The following summation of information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2014.” Donald Richard Dahn (CRD #2172800, Registered Representative, Palm City, Florida) was barred from association with any FINRA member in any capacity. FINRA found that Dahn borrowed $27,100 from customers without repaying the loans. The money was represented […]

Gary Chackman, a former LPL Financial broker, was barred last week by the Financial Industry Regulatory Authority Inc.(FINRA) for several violations of securities industry rules, including falsifying documents, related to the sale of nontraded real estate investment trusts(nontraded REITS) from 2009 to 2012. In a December 19th InvestmentNews article, Bruce Kelly writes that nontraded REITs […]

Gary Chackman, a former LPL Financial broker, was barred last week by the Financial Industry Regulatory Authority Inc.(FINRA) for several violations of securities industry rules, including falsifying documents, related to the sale of nontraded real estate investment trusts(nontraded REITS) from 2009 to 2012. In a December 19th InvestmentNews article, Bruce Kelly writes that nontraded REITs […]

The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Sharon Mae Perdue (CRD #2537681, Registered Principal, Longmont, Colorado) was fined $15,000 and suspended from association with any FINRA member in any capacity for two years. Without admitting […]