Robert John Head (CRD #240935, Omaha, Nebraska) was barred by FINRA for allegedly exercising discretion in the account of an elderly client diagnosed with dementia without obtaining the customer’s prior written consent to do so. Robert Head was in the securities industry for 45 years. FINRA's findings stated that Head recommended transactions that were qualitatively […]

Soreide Law Group, (888) 760-6552, obtained the information below on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013.” Christian Joel Brand (CRD #2434521, Registered Representative) was suspended from association with any FINRA member in any capacity for four months. Without admitting or denying the allegations, Brand consented to the described sanction and to […]

The financial industry has been anticipating this time in history ever since the Baby Boom generation began. There are more people who will be turning more money over to stockbrokers than at any other time in history.  We have watched the abuse investors have taken. Take for example, the investors in Worldcom or Enron. They soon learned that things are […]

In a February 4th., 2012, article by Andew Osterland in InvestmentNews.com, he writes that it's not an easy conversation to have, but financial advisers need to talk to their clients about Alzheimer's disease and other forms of dementia and the impact it can have on their financial circumstances. “The first conversation is difficult, but after […]