Soreide Law Group is investigating possible investor claims against securities broker Brad Michael Jacobson [CRD: 4859099, Linwood, New Jersey]. Notably, FINRA punished the securities broker, who worked for Wells Fargo Clearing Services LLC. Allegedly, Jacobson did not comply with FINRA investigators. Here is a brief summary of FINRA’s allegations against Jacobson. FINRA Sanctions Jacobson For […]

RYAN ASHLEY RASKIN (RYAN RASKIN) CRD#: 5539610, formerly of Merrill Lynch in Beverly Hills, California, was recently barred by FINRA for failing to cooperate with its investigation into why he was discharged from Merrill Lynch. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, Raskin was discharged on March 4, 2020 from Merrill […]

The Florida-based, Soreide Law Group, obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions, September 2016.” ELLIOT HARRIS (CRD# 2496586), Delray Beach, Florida) was barred by FINRA for allegedly failing to provide FINRA with requested documents and information during the course of FINRA's investigation into allegations that he recommended unsuitable trades […]

John Charles Hanson (CRD #2420584, Spokane, Washington) was barred by FINRA for refusing to respond to FINRA requests for information, documents and testimony in connection with an investigation involving allegations that he misappropriated more than $300,000 from at least two member firm clients. FINRA's findings stated that Hanson stated that he would not produce any […]

Soreide Law Group recently obtained the following summary of information from FINRA's Website under "Disciplinary and Other Actions, November 2014." William Brian Mulder (CRD #1474998, Tulsa, Oklahoma) was barred by FINRA for failure to provide FINRA with documents and information. FINRA's findings stated that their requests for information were related to their investigation into the […]

Daniel Edward Becerril II (CRD #4489715, Registered Representative, Huntington Beach, California) has been barred from association with any FINRA member in any capacity and this sanction was based on FINRA's findings that Becerril made willful misrepresentations and omissions to his customer by telling her that he would invest an $11,500 inheritance in a mutual fund, when […]