DAVID J. ESCARCEGA (CRD# 4367584) was barred by FINRA recently for selling risky debt to his elderly clients. FINRA also fined Escarcea $52,270 which was the amount he made in commissions he charged his elderly clients, as much as 5% on the sales. Escarcega has been registered with the securities industry for fourteen years. According […]

Soreide Law Group, (888) 760-6552, obtained the following summation of information on FINRA’s website under “Disciplinary and Other FINRA Actions, October, 2013.” Karen Yvonne Geiger (CRD #1456604, Registered Representative, Akron, Ohio) was fined $15,000, which includes disgorgement of commissions received of $2,000, and suspended from association with any FINRA member in any capacity for 30 […]

Soreide Law Group, (888) 760-6552, obtained the following summation of information on FINRA’s website under “Disciplinary and Other FINRA Actions, October, 2013.” Karen Yvonne Geiger (CRD #1456604, Registered Representative, Akron, Ohio) was fined $15,000, which includes disgorgement of commissions received of $2,000, and suspended from association with any FINRA member in any capacity for 30 […]

Soreide Law Group is currently investigating claims relating to the sale of stock and debentures in Havoc Energy Drink. HAVOC is owned by American Enterprise Development Corporation (OTC: AEND) and manufactures and distributes the popular HAVOC Energy Drink.   If your stock broker or financial advisor recommended the purchase of AEND call Soreide Law Group for a […]