The following information was obtained on FINRA's website's 'Disciplinary Actions, January 2012."   Bradley John Delp (CRD #1701698, Registered Representative, Deerfield Beach, Florida)   submitted a Letter of Acceptance, Waiver and Consent in which he was fined $25,000 and suspended from association with any FINRA member in any capacity for two months. The fine must […]

The following information was found on FINRA's website's "Disciplinary Actions, January 2012."   Richard Paul Counts (CRD #3241105, Registered Representative, Belleair, Florida)   submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with ny FINRA member in any capacity. Without admitting or denying the findings, Counts consented to the […]

Exposure to the CBOE Volatility Index (VIX) has been available since 2004 in the form of futures, and since 2006 in the form of options, but recently new exchange-traded products have offered retail investors an easier way to gain exposure to this popular measure of market sentiment. The most successful of these products so far […]

Recently, start-up fund, Roundstone Healthcare Partners, and its affiliates, have filed a RICO suit against numerous defendants in "GREENFISH II, L.P. et al v. INTERNATIONAL PORTFOLIO, INC. et al," which alleges that Roundstone and their affiliates were sold portfolios of medical receivables at artificially inflated values with no real ability to resell. Roundstone then, through stock […]

Soreide Law Group is investigating the following oil & gas/alternative energy offering investments. If your stock broker or financial advisor recommended any of the following investments and you sustained a significant loss of your investment. Call 888-760-6552 for a free consultation.   - Oil & Gas//Alternative Energy Offerings -   Adwar Drilling Fund I, LP […]

Soreide Law Group, PLLC, is currently investigating the following investments. If your stock broker or financial advisor recommended any of the following investments, and you sustained a significant loss of your investment. call 888-760-6552 for a free consultation. ABS Fund, LLC EJF Income Fund, LP RJO Global Fund Rogers International Raw Materials Fund L.P. Salient MLP […]

Dawson James Securities, Inc. (CRD® #130645, Boca Raton, Florida), Albert James Poliak (CRD #1270681, Registered Principal, Parkland, Florida), and Douglas Fulton Kaiser (CRD #1674570, Registered Principal, Deerfield Beach, Florida)   submitted Offers of Settlement in which the firm was censured and fined $90,000. Poliak, Dawson’s CEO, and Kaiser, who acted at times as both the […]

Joseph Alphonse Vitale (CRD #5223467, Registered Representative, Boca Raton, Florida)   has been barred from association with any FINRA member in any capacity. The sanction was based on findings that Vitale failed to respond to FINRA requests for information.   (FINRA Case #2009017585202)   This information is from FINRA’s website’s Disciplinary Actions, December, 2011.   […]

Jeffrey Rachlin (CRD #823547, Registered Principal, Pleasantville, New York)   has submitted a Letter of Acceptance, Waiver and Consent in which he was fined $10,000, suspended from association with any FINRA member in any capacity for 30 business days, and suspended from association with any FINRA member in any principal capacity for 18 months. The […]