MassMutual's Caleb Jamison Facing FINRA Suspension The Financial Industry Regulatory Authority (“FINRA”) has issued a suspension and fine to securities broker Caleb A. Jamison (CRD#: 5645954, Little Rock, Arkansas) Not only that, but MassMutual terminated the securities broker for allegedly failing to tell his securities firm about outside business activities. FINRA Suspends, Fines Caleb Jamison […]

Securities Broker Martin Noonan Expelled As Broker For Avoiding FINRA Investigators The Financial Industry Regulatory Authority (“FINRA”) barred securities broker Martin Joseph Noonan Jr. (CRD#: 2982159, El Segundo, California) for violating FINRA rules. In addition, the financial industry watchdog reports that an investor complained about the securities broker, who worked for Equibond from 2002 to […]

Did Broker Rusty Tweed Cause You To Incur Losses? Soreide Law Group provides you this recent update in regard to securities broker Robert “Rusty” Tweed (CRD#: 2339324, San Marino, California). Namely, Securities and Exchange Commission (“SEC”) and Financial industry Regulatory Authority (“FINRA”) both barred the securities broker, who worked for Concorde Investment Services from 2011 […]

FINRA Suspends Broker Brian Harte For Discretionary Trading Soreide Law Group provides you this update in regard to a problem securities broker by the name of Brian Joseph Harte (CRD#: 4780629, Alexandria Virginia). Notably, FINRA suspended the E1 Asset Management securities broker twice. Also, Harte is the target of four investor disputes. All together, these […]

FINRA Issues Sanction To Brian Engstrom For Unsuitable UIT Trades The Financial Industry Regulatory Authority (“FINRA”) reports troubling information in regard to Oppenheimer securities broker Brian Engstrom (CRD#: 1838926, Pensacola, Florida). Not only has the financial industry watchdog sanctioned Engstrom via a three month suspension and $5,000 fine, but Oppenheimer disaffiliated with him following allegations […]

Broker Rich Coleman Suspended By FINRA Again Soreide Law Group is examining whether to bring investor lawsuits against securities broker Richard James Coleman (CRD#: 2720422, Melville, New York). Specifically, Coleman is presently under a FINRA suspension for not paying a FINRA Arbitration Award. Not only that, but FINRA issued him a hefty two-year suspension along […]

SW Financial Broker Douglas Leone Sanctioned Again By Financial Watchdog The Financial Industry Regulatory Authority (“FIRNA”) announced that it again sanctioned Salomon Whitney Financial securities broker Douglas A. Leone (CRD#: 2453784, Melville, New York). The watchdog’s move comes after prior infractions – all of which resulted in him being barred. Not only that, but seven […]

FINRA Contends That Broker Steven Luftschein Made Excessive Trades Causing Investor Losses Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) brought a regulatory action against Steven R. Luftschein (CRD#: 2690117, Huntington, New York) – also known by the name Steven Lerner. Specifically, in May 2020, the watchdog accused the securities broker of both violating fraud […]

SEC The Latest Regulator To Expel Hagedorn As Broker Evidently, the Securities and Exchange Commission (“SEC”) is the latest to sanction ON Equity Sales Company securities broker Lawrence E. Hagedorn (CRD#: 1794077, Andover, Kansas) for “theft by deception.” Namely, Hagedorn is considered a serious threat to investors according to SEC – so much of a […]