Did COLEMAN DEVLIN Sell You Unsuitable Investments? Soreide Law Group is investigating potential claims against Stifel, Nicolaus & Company, Incorporated securities broker Coleman Devlin (CRD#: 2317635, Atlanta, Georgia) on behalf of investors whose accounts Devlin potentially traded in an inappropriate and unsuitable manner. Namely, FINRA BrokerCheck shows that at least 18 investors filed disputes involving […]

FRANK KELLY Suspended For Unauthorized Trading The Financial Industry Regulatory Authority (“FINRA”) announced it has issued HD Vest Investment Services securities broker Frank Kelly (CRD#: 2028226, New Cumberland, Pennsylvania) a three month suspension and fine of $5,000. Mainly, FINRA found Kelly violated FINRA Rules on unauthorized trading and trading with discretion. The sanctions became effective […]

BROKER MISCONDUCT: Merrill Lynch Terminates Jacob Wagner, Jessica Caden, Scott Tilley, Keith McIntosh Merrill Lynch (CRD#: 7691, New York, New York) is a SEC-regulated investment adviser and FINRA-regulated brokerage firm. Notably, with a company containing over 15,000 employees, Merrill Lynch is bound to have bad apples working for them every once in a while. Particularly, […]

The Forida-based Soreide Law Group obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions, May 2018.”  Michael Douglas Hanke (Mike Hanke) (CRD #3158013, Tampa, Florida) was assessed a deferred fine of $10,000 and suspended from association with any FINRA member in all capacities for one month for allegations that he executed […]