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December 21, 2022
FINRA Bars Doan Nguyen

Soreide Law Group is investigating possible investor claims against securities broker Doan Nguyen [CRD: 6554242, Vancouver, BC]. Notably, FINRA sanctioned the securities broker, who worked for Raymond James (USA) Ltd. Allegedly, Nguyen failed to provide information and documents to FINRA when it investigated possible violations of FINRA rules. Here is a brief summary of FINRA’s […]

December 16, 2022
FINRA Bars Neil Koch

Soreide Law Group is investigating possible investor claims against securities broker Neil Koch [CRD: 4800437, Minneapolis, Minnesota]. Notably, FINRA sanctioned the securities broker, who worked for American Enterprise Investment Services Inc. Allegedly, Koch failed to provide information and documents to FINRA when it investigated possible violations of FINRA rules. Here is a brief summary of […]

November 24, 2022
Stephen Whitman Discloses Allegations Of Failure To Provide Information

Soreide Law Group is investigating possible investor claims against securities broker Stephen Whitman AKA Steve Whitman [CRD#: 2230369, Chesterfield, MO]. Notably, FINRA sanctioned the securities broker, who worked for Oppenheimer Co. Allegedly, Whitman failed to provide information and documents to FINRA when it investigated possible violations of FINRA rules. Here is a brief summary FINRA’s […]

November 22, 2022
FINRA Sanctions Robin Taliaferro

Soreide Law Group is investigating possible investor claims against securities broker Robin Taliaferro AKA Robin Lee Taliaferro [CRD#: 442144, Solvang, CA]. Notably, FINRA sanctioned the securities broker, who worked for Coastal Equities Inc. Allegedly, Taliaferro failed to provide information and documents to FINRA when it investigated possible violations of FINRA rules. Here is a brief […]

September 25, 2018
J.P. Morgan Securities Benjamin Johnson Barred For FINRA Investigation

J.P. Morgan’s Benjamin Johnson Barred For Impeding FINRA Investigation Benjamin S. Johnson (CRD #5742748, Columbus, Ohio) was a registered representative of J.P. Morgan Securities LLC between October 1, 2012 and February 17, 2017. Johnson consented to being barred by the Financial Industry Regulatory Authority (“FINRA”) from acting as a broker or associating with FINRA member […]

January 28, 2016
Florida Broker Barred by FINRA

The Florida-based Soreide Law Group (888-760-6552) obtained the following information on FINRA’s website under, “Disciplinary and Other Actions January 2016.” Daniel George Kasbar (CRD #5869994, Cooper City, Florida) was barred by FINRA for allegedly failing to provide FINRA with requested documents and information during their investigation into allegations that Kasbar engaged in an outside business […]

June 5, 2015
Former Barclays Capital New York Broker Barred by FINRA Over Allegations of Concealing Trading Losses

Chia-Ming Hu (CRD #5368992, New York, New York) Alternate Name: MICHAEL HU was barred by FINRA for allegedly failing to provide FINRA-requested testimony involving an investigation into allegations that he and another representative of his member firm concealed trading losses. (FINRA Case #2014043161701) Michael Hu is not currently licensed to act as a broker (buying […]

April 20, 2015
Former LPL Financial Broker North Carolina Barred by FINRA Over Allegations of Client Fund Conversion

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April 1, 2015
Minnesota Broker Barred by FINRA Over Allegations of Forged Insurance Documents

Soreide Law Group, (888) 760-6552, obtained the following summation of information found on FINRA's website under “Disciplinary and Other FINRA Actions March 2015.” Brian Michael Seifert (CRD #4547658, Rochester, Minnesota) was barred by FINRA for allegedly failing to provide FINRA-requested on-the-record testimony involving an investigation into allegations that he, among other things, forged documents and […]

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