SEC Bars Securities America's Hector May Soreide Law Group is evaluating possible claims against Securities America, Inc. general securities representative and Executive Compensation Planners Inc. President, Hector May (CRD#: 323779, New City, NY). Evidently, in December 2018, May pleaded guilty to 1 count of investment adviser fraud and 1 count of conspiracy to commit wire […]

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 […]

JOANN JACKSON (CRD# 2246952) a 63 year-old investment advisor from Coeur d'Alene, Idaho, pled guilty to wire fraud last week in federal court. Allegedly, Jackson misappropriated over $800,000 from her client's account. The alleged victim had placed all of her investment accounts with Jackson. Jackson has worked as a stockbroker since 1994, and had become […]

The following summation of information is listed on FINRA's website under “Disciplinary and Other FINRA Actions, May, 2014.” Jeffrey Scott Davis (CRD #3081852, Virginia Beach, Virginia) was barred by FINRA. According to FINRA's report, allegedly Davis converted $116,976.69 from his clients' brokerage accounts at his firm and used these funds for his personal use. According […]

The following information is located on FINRA’s website under “Disciplinary and Other FINRA Actions, February, 2014.” Violeta Maria Godoy Zuniga (CRD #5792585, Registered Representative, Doral, Florida) was barred by FINRA for alleged misappropriation of $7,000 from a bank customer for her own personal use. Godoy Zuniga assisted a customer in opening a savings account. The […]

Soreide Law Group, (888) 760-6552, has obtained the following summation of information from FINRA’s website under “Disciplinary and Other FINRA Actions, December, 2013.” Joann Jackson (CRD #2246952, Registered Representative, Coeur d’Alene, Idaho) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Joann Jackson consented to the described […]

A former Fort Lauderdale Ameriprise investment advisor, Shawn Sapp, was fined $25,000 by the Florida Office of Financial Regulation on Nov. 19, 2013, for taking loans from clients and not disclosing his criminal past. Sapp is banned from registering as a financial professional in the state of Florida for three years. Sapp was employed by […]

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, July, 2013.” Huel Cox Jr. (CRD #1638341, Registered Principal, Phoenix, Arizona) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Cox consented to the […]

The following information was found on FINRA's website's "Disciplinary and Other Actions, November, 2012." Charles Eugene Bishop Jr. (CRD #1621380, Registered Principal, Pompano Beach, Florida) submitted an Offer of Settlement in which he was fined $7,500 and suspended from association with any FINRA member in any capacity for two years. Without admitting or denying the […]