INVESTOR ALERT: FINRA Bars Coastal Equities’ SAM AZIZ Because Of Excessive Trading Investigation The Financial Industry Regulatory Authority (“FINRA”) barred David A. Noyes broker Sam Aziz (CRD#: 1721932, Dublin, Ohio) from the securities industry. Evidently, Aziz executed a Letter of Acceptance, Waiver and Consent (“AWC”) #2017052325701 on March 18, 2019, which FINRA accepted March 27, […]

HENRY AL DEAN WATSON  (aka: DEAN WATSON, HENRY DEAN WATSON) CRD#: 1326969 former broker with Hilliard Lyons, was barred by the Financial Industry Regulatory Authority Inc. (FINRA) on Janurary 17, 2017, when he failed to appear for testimony before FINRA.  Watson recently settled a client complaint alleging excessive trading and commissions, unauthorized trading, and portfolio […]

Fort Lauderdale-based Soreide Law Group, (888) 760-6552, obtained the following summation of information from FINRA’s website, under “Disciplinary and Other FINRA Actions, June, 2014.” Shondeep Sajan Balchandani (CRD #5165930, West Palm Beach, Florida) was barred by FINRA for allegedly churning and excessively trading, engaging in unauthorized trading in non¬discretionary customer accounts, and recommending unsuitable investments […]

On July 19, 2013, two South Florida brokers were barred by the Financial Industry Regulatory Agency (FINRA). In an article from the Sun Sentinel, Donna Gehrke-White writes that they were both accused of mishandling money. However, one case is on appeal and the sanctions don't take effect, pending the appeal. Alan Jay Davidofsky, Delray Beach, […]

Soreide Law Group is investigating claims on behalf of former customers of stock broker Robert E. Waite. Robert Waite was formerly registered with Robert W. Baird & Co. and Wells Fargo Advisors (formerly Wachovia) in Chicago. Soreide Law Group has been contacted by investors who have suffered significant investment losses with former broker Robert Waite […]