Investors possibly experienced losses because of financial advisor / securities broker Mike Robert Kilpatrick [CRD: 1278618, Camarillo, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kilpatrick has worked for Centaurus Financial Inc. since May 10, 2011. Before this, he worked with LPL Financial and American Express Financial Advisors. Here’s more about the […]

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 […]

Soreide Law Group, (888) 760-6552, based in Fort Lauderdale, Florida, recently obtained the following summary of information located on FINRA’s website, under “Disciplinary and Other FINRA Actions, July, 2014.” John Frederick Wolle (CRD #5479607, Riviera Beach, Florida) was barred by FINRA for allegedly falsifying and forging a client’s signature on an annuity application without the […]

The following information was found on FINRA’s website under “Disciplinary and Other FINRA Actions, September, 2013.” Call Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Jill Meredith Carr (CRD #5353409, Registered Representative, Ellicott City, Maryland) was fined $10,000 and suspended from association with any FINRA member in any capacity for two years. Without […]

The following information was found on FINRA’s website under “Disciplinary and Other FINRA Actions, September, 2013.” Call Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Jill Meredith Carr (CRD #5353409, Registered Representative, Ellicott City, Maryland) was fined $10,000 and suspended from association with any FINRA member in any capacity for two years. Without […]

The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Roger Allan Fuller (CRD #1722316, Registered Representative, McGregor, Texas) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Fuller consented […]

Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” Ronald Wayne Nichter (CRD #3127417, Registered Principal, Greenfield, Indiana) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Nichter consented to the […]

The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, February, 2013.” Martin Benjamin Feibish (CRD #205556, Registered Representative, Providence, Rhode Island) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Feibish consented to the described sanction and to the entry of findings that […]

Brent Keith Deviney (CRD #2131402, Registered Representative, West Palm Beach, Florida) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Deviney failed to respond to FINRA requests for information and documents, and to appear for on-the-record interviews in connection with an investigation of allegations that Deviney […]