Soreide Law Group is currently investigating potential claims made by investors who have contacted us alleging that WILLIAM COLIN SEIBERT, currently a broker and investment advisor with RAYMOND JAMES & ASSOCIATES, INC. in Louisiana, allegedly recommended they purchase large concentrations of the high-risk oil and gas stocks, Linn Energy and Memorial Production Partners LP (MEMP). […]

Misrepresentation Claims Involving Raymond James Broker JOHN NORDEN Soreide Law Group is reviewing possible claims of annuity misrepresentation against Raymond James Financial Services securities broker John Norden (CRD#: 2272003, Honolulu, HI), who worked at the firm from October 15, 2009 to June 1, 2018. Norden shows on his Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Report […]

Soreide Law Group, based in Florida, obtained the following from FINRA’s June 2017 Disciplinary Report regarding Florida broker: WILLIAM CAMBELL WEBB (BILL C. WEBB, BILL WEBB, WILLIAM C. WEBB)  (CRD #1621426, Panama City, Florida) was assessed a deferred fine of $15,000 and suspended by FINRA for 18 months for allegedly engaging in outside business activities […]

Raymond James & Associates, Inc. (CRD #705, St. Petersburg, Florida) FINRA censured and fined Raymond James & Associates $22,500. FINRA's findings stated that allegedly Raymond James failed to execute customer limit orders in OTC (over-the-counter) securities after Raymond James traded each security for its own market-making account, and occasionally, failed to execute the order at […]

Soreide Law Group, (888) 760-6552, obtained the following summation of information on FINRA’s website under “Disciplinary and Other FINRA Actions, November, 2013.” Raymond James & Associates, Inc. (CRD #705, St. Petersburg, Florida) was censured, fined $15,000 and required to revise its WSPs (Written Supervisory Procedures). Without admitting or denying the findings, the firm consented to […]

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. Raymond James & Associates, Inc. (CRD #705, St. Petersburg, Florida) was censured, fined $27,500 and required to revise its WSPs regarding compliance with NASD Rule 2440 and IM-2440. […]

The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” FINRA issued the following complaint. Issuance of a disciplinary complaint represents FINRA’s initiation of a formal proceeding in which findings as to the allegations in the complaint have not been made, and does not represent a decision as to any […]