RBC Broker Dan Peltier Fined, Suspended For Stock Manipulation Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of sales practice violations by RBC Capital Markets securities broker Dan Peltier [CRD#: 2677761, Stillwater, Minnesota]. Not only has FINRA sanctioned the securities broker, but at least 3 clients disputed his sales practices. Altogether, these […]

Did your broker recommend investing in Dakota Plains Holdings, Inc and you suffered financial losses?  Were you a client of NICHOLAS HARRIS SHERMETA (CRD#: 2414010), formerly with NORTHLAND SECURITIES, INC. in Minneapolis, Minnesota, who was barred by the SEC from acting as a broker or investment adviser or otherwise associating with firms that sell securities […]

The Pompano Beach, Florida-based Soreide Law Group obtained the following on FINRA's website under, "Disciplinary and Other FINRA Actions March 2016:" Robert E. Richards (CRD #2663610, Boynton Beach, Florida) Alternate Names: ROB RICHARDS was assessed a deferred fine of $25,000, suspended by FINRA for two years and required to requalify as a General Securities Principal […]

Soreide Law Group, (888) 760-6552, has obtained this summation of information on FINRA’s website under “Disciplinary and Other FINRA Actions, March, 2014.” Edward Shea Brokaw (CRD #1162997, Registered Principal, Darien, Connecticut) was suspended for one year and fined $30,000 by FINRA. This following the SEC sustaining the sanctions following an appeal of a National Adjudicatory […]