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September 23, 2023
Chris Carpenter Barred By FINRA

Soreide Law Group is actively investigating potential claims on behalf of investors who have sustained losses involving securities broker Christopher John Carpenter (also known as Chris Carpenter) (CRD: 6601132, Charlotte, NC). Notably, Carpenter worked for LPL Financial LLC from March 5, 2020, to February 1, 2023, and before that with Spire Securities, LLC from May […]

June 26, 2023
FINRA Issues Bar To Tracy Morton

Soreide Law Group is investigating possible investor claims against securities broker Tracy Lynn Morton (CRD: 4880691, Tulsa, Oklahoma). Evidently, FINRA sanctioned the securities broker, who worked for Allstate Financial Services LLC. Allegedly, Morton failed to cooperate with FINRA’s investigation. Here is a brief summary of FINRA’s allegations against Morton. FINRA Bars Morton For Failure To […]

June 19, 2023
FINRA Issues Bar To Tyler Delahunt

Soreide Law Group is investigating possible investor claims against securities broker Tyler Dean Delahunt (CRD: 4419594, Atlanta, Georgia). Evidently, FINRA sanctioned the securities broker, who worked for Merrill Lynch Pierce Fenner Smith Incorporated. Allegedly, Delahunt failed to provide information and documents to FINRA when it conducted an investigation. Here is a brief summary of FINRA’s […]

May 31, 2023
FINRA Expels Allen Hershberg

Soreide Law Group is investigating possible investor claims against securities broker Allen Hershberg (CRD: 1112312, Beverly Hills, California). Notably, FINRA sanctioned the securities broker, who worked for Morgan Stanley. Allegedly, Hershberg failed to provide information and documents to FINRA when it investigated potential FINRA rule violations governing outside business activities. Here is a brief summary […]

May 23, 2023
FINRA Expels Daniel Pita

Soreide Law Group is investigating possible investor claims against securities broker Daniel Pita (CRD: 6759879, Southwest Ranches, Florida). Notably, FINRA sanctioned the securities broker, who worked for NYLife Securities LLC. Allegedly, Pita failed to provide information and documents to FINRA when it investigated him. Supposedly, FINRA tried to determine if he engaged in impermissible outside […]

May 12, 2023
FINRA Sanctions Sean Boswick

Soreide Law Group is investigating possible investor claims against securities broker Sean Morgan Storm Boswick (CRD: 2491980, New York, New York). Notably, FINRA barred the securities broker, who worked for Brock Securities LLC. Supposedly, Boswick failed to provide information and documents to FINRA when it investigated him. Here is a brief summary of FINRA’s allegations […]

April 25, 2023
FINRA Sanctions Desiderio Torrez

Soreide Law Group is looking into possible investor claims against securities broker Desiderio Eloy Torrez (CRD: 4759218, San Diego, California). Particularly, FINRA sanctioned the securities broker, who worked for PFS Investments Inc. Allegedly, Torrez failed to cooperate with FINRA during its investigation into possible violations of FINRA rules. Here is a brief summary of FINRA’s […]

April 24, 2023
FINRA Sanctions David Simmons

Soreide Law Group is looking into possible investor claims against securities broker David Shane Simmons (CRD: 4655479, Jefferson, North Carolina). Particularly, FINRA sanctioned the securities broker, who worked for Lincoln Financial Advisors Corporation. Allegedly, Simmons failed to cooperate with FINRA when the regulator investigated him for potentially violating FINRA rules. Here is a brief summary […]

April 19, 2023
FINRA Sanctions Cathie Joughin

Soreide Law Group is looking into possible investor claims against securities broker Cathie Ann Joughin (also known as Cathie Joughin Barnard) (CRD: 1044884, Bakersfield, California). Particularly, FINRA sanctioned the securities broker, who worked for Ameriprise Financial Services LLC. Allegedly, Joughin did not provide documents and information to FINRA during its investigation into possible violations of […]

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