Securities Broker Todd Phillips Serves Suspension As Securities Broker, Faces ProEquities Investors' Disputes About FIP LLC Purchases Soreide Law Group provides you with important information relating to sanctions and investment disputes reported on the Financial Industry Regulatory Authority (FINRA BrokerCheck record of securities broker David Todd Phillips (CRD#: 3094195, Gilbert, Arizona). Namely, Phillips, who worked […]

Securities Broker Al Westbrook Receives Suspension, Fine From FINRA For Allegedly Selling Away Soreide Law Group provides you with the following update regarding securities broker John Albert “Al” Westbrook (CRD#: 1846059, McDonough, Georgia). Specifically, Westbrook, who worked for Center Street Securities (2014 to 2020), faced sanctions from FINRA for his alleged private securities transactions. In […]

Clients Of Titan Securities File Disputes About Securities Broker Rodger Sprouse It appears that investors have challenged the sales practices of securities broker Rodger Sprouse (CRD#: 5483578, Lee’s Summit, Montana). Specifically, the securities broker, who is presently a Titan Securities financial advisor and securities broker, is involved in six investor disputes in which clients allege […]

Soreide Law Group, based in Florida, obtained the following information on the former Florida broker from FINRA’s website under, “Disciplinary and Other FINRA Actions March 2020:” Gabriel William Hynes (GABE HYNES) (CRD #3152541, Saint Augustine, Florida) According to the FINRA report, an Acceptance, Waiver, and Consent (AWC) was issued in which Gabriel William Hynes was […]

KARI MARLIN BRACY (KARI M BRACY, KARI MARLIN FARWELL) CRD#: 5656186 formerly with NYLife Securities Inc. of Jacksonville Beach, Florida,  was barred by FINRA from acting as a broker or otherwise associating with a broker-dealer firm on January 23, 2020.  According to the FINRA report, without admitting or denying FINRA’s findings, Bracy consented to the […]

LELAND BLAIR WHITING (BLAIR WHITING) CRD#: 465663 formerly with HORNOR, TOWNSEND & KENT, INC. of SALT LAKE CITY, UTAH, was one of dozens of financial advisors, stockbrokers, financial planners and insurance agents who are being named in a lawsuit as part of an alleged investment fraud that allegedly cost more than 1,000 investors, many retirees, […]