Soreide Law Group, based in Florida, obtained the following information on the Florida broker, formerly with FSC Securities Corporation, of Winter Haven, Florida, from FINRA’s January 2022 Disciplinary Report: Brian Stanley Pearce (CRD #1334784, Winter Haven, Florida) On November 2, 2021 an Acceptance, Waiver and Consent (AWC) was issued in which Brian Stanley Pearce was […]

FINRA Suspends Questar Capital Corp Securities Broker Louis Olave, Who Also Faces Investor Disputes The following update concerning Questar Capital Corporation securities broker Louis Olave (CRD#: 5904834, Burlington, Vermont) comes to you by Soreide Law Group. Notably, FINRA sanctioned Olave in April 2021 based on allegations that he participated in private, unauthorized securities transactions that […]

On October 19, 2020, the Financial Industry Regulatory Authority Inc. (FINRA) fined the former Sage Point Financial of Omaha, Nebraska, broker TROY ROBERT BAILY (TROY R BAILY) CRD#: 4458930, $5,000 and suspended him for six months for the alleged undisclosed and unapproved sale of private securities. According to the FINRA report, without admitting or denying […]