Suffer Investment Losses From CHRISTOPHER TOLMACS? Soreide Law Group is evaluating possible investor claims against Triad Advisors securities broker Christopher Tolmacs (CRD#: 4648724, Portage, Michigan). It appears from Tolmacs’ Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Report that he may have sold inappropriate and unsuitable alternative investments to clients. Furthermore, Tolmacs discloses three regulatory actions, one […]

INVESTOR ALERT! ALPINE SECURITIES CORPORATION Issued Cease and Desist The Financial Industry Regulatory Authority (“FINRA”) obtained a Cease and Desist Order against Alpine Securities Corporation in a proceeding dated August 5, 2019. Specifically, FINRA Ordered Alpine to cease and desist converting clients’ securities and funds, misusing their funds and making unauthorized transactions in their accounts, […]

Tammy Charlene Petersen (CRD #4161501, Carrollton, Virginia) aka TAMMY CHARLENE BARBER, TAMMY CHARLENE BARBER, TAMMY CHARLENE BROUSSARD, TAMMY CHARLENE BROUSSARD, or TAMMY PETERSEN was barred by FINRA for allegedly converting approximately $107,378 from her member firm clients for her own personal use and benefit without the clients’ knowledge or consent. FINRA's findings stated that Petersen […]

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The Florida-based Soreide Law Group, (888) 760-6552, recently obtained the following information from FINRA's website under “Disciplinary and Other FINRA Actions, January, 2015.” Jeffrey Brian Grove (CRD #3000877, Viera, Florida) was barred by FINRA for allegedly converting the proceeds of office equipment sales, totaling nearly $1 million, for his own personal use and benefit. Allegedly […]

The Florida-based Soreide Law Group obtained this summation of information from FINRA's Website under "Disciplinary and Other Actions, January, 2015." Jamie David Pope (CRD #4172805, Winter Park, Florida) was barred from association by FINRA for allegedly converting funds from a client of his member firm which were provided to him for the express purposes of […]

Michael Gregg Lieberman (CRD #5266225, Huntersville, North Carolina) was barred by FINRA for allegedly failing to provide FINRA-requested documents and information regarding an investigation into allegations that he may have converted approximately $1.4 to $1.6 million of his member firm’s funds. The findings stated that Lieberman informed FINRA that he would not cooperate with FINRA’s […]

Michael Edward Donnelly (CRD #2276988, Newark, Delaware) was barred by FINRA for allegedly failing to provide FINRA with requested information and documentation for an investigation related to allegations that he converted client funds. According to FINRA, after Donnelly received a second request, he informed FINRA that he would not cooperate or provide the requested information […]

Timothy Johnson II (CRD #4634056, Florissant, Missouri) was barred by FINRA for allegedly attempting to convert funds from his member firm for personal use and benefit by submitting false expense reports seeking reimbursement for personal, non-business related expenses. FINRA's findings stated that Johnson's firm discovered the false expense reports and refused to pay the personal […]