Financial Industry Regulatory Authority (FINRA) sanctioned securities broker Imdadur Rahman (also known as Gino Rahman) [CRD: 2476187, Troy, Michigan], according to disclosures on BrokerCheck. Evidently, Imdadur Rahman worked for L.M. Kohn Company from October 30, 2023, to June 10, 2024, and for Merrill Lynch Pierce Fenner Smith Inc. from November 11, 2005, to October 19, […]

Soreide Law Group is investigating possible investor claims against Lisa Stevenson (also known as Lisa Gastaldo) (CRD: 6191058, New Albany, Ohio). Evidently, FINRA sanctioned the securities broker, who worked for The Huntington Investment Company. Allegedly, Stevenson failed to provide information and documents to FINRA when it investigated possible FINRA rule violations. Here is a brief […]

The following summation of information was found on FINRA's website under "Disciplinary and Other FINRA Actions, February, 2014." Robert Lee Bateman (CRD #1459540, Registered Representative, Ogden, Utah) was fined $25,000 and suspended by FINRA for 18 months. Robert Bateman consented to the sanctions and findings that he accepted gifts from clients totaling $151,000 and borrowed […]