Former Louisiana Broker, RALPH WILLARD SAVOIE, Charged with Fraud
RALPH WILLARD SAVOIE (CRD#: 411660) was charged December 22, 2017, with one count of wire fraud. Savoie, based in [...]
Former Pennsylvania Broker, David Wells, Barred by FINRA
Soreide Law Group obtained the following information from FINRA’s July 2017 Disciplinary Report: David Wesley Wells (David Wells) (CRD [...]
Former Edward Jones Broker from Arizona Barred by FINRA for Conversion of Client Funds
Adam Robert Bollinger (CRD #6065030, Chandler, Arizona) was barred by FINRA for allegedly converting $17,525 from seven individuals, six of [...]
Texas Broker Barred by FINRA for Misusing Client Funds
William Charlton Mays (CRD #2693626, Corpus Christi, Texas) was barred by FINRA and ordered to pay $10,000, plus interest, in [...]
Spokane Broker Barred by FINRA for Refusal to Respond to Requests for Information Over Alleged Misappropriation of Clients’ Funds
John Charles Hanson (CRD #2420584, Spokane, Washington) was barred by FINRA for refusing to respond to FINRA requests for information, [...]
Former Chicago Broker Barred by FINRA for Alleged Misappropriation of Over $1Million of Clients’ Funds
Eric William Johnson (CRD #2142522, Hinsdale, New York) was barred by FINRA for the alleged misappropriation of more than $1 [...]
Former Broker Charged in $1 Million Misappropriation of Clients Funds
The SEC has filed an action against ERIC W. JOHNSON, 51, (CRD# 2142522) for allegedly misappropriating at least $1 million [...]
Vero Beach Florida Broker Barred by FINRA for Misappropriation of Client’s Funds
The Soreide Law Group, based in Fort Lauderdale (888) 760-6552, obtained the following summary of information from FINRA’s website, under [...]
Florida Broker Barred by FINRA for Conversion of Funds of Foundation
Fort Lauderdale-based Soreide Law Group, (888) 760-6552, recently obtained the following summary of information located on FINRA’s website, under “Disciplinary [...]
Former Broker With HSBC Securities in Miami Barred by FINRA
The Fort Lauderdale-based Soreide Law Group, (888) 760-6552, obtained the following summary of information from FINRA’s website, under “Disciplinary and [...]
Pennsylvania Broker Barred by FINRA for Misappropriation of Clients’ Funds
Christopher Somes Babcock (CRD #5004907, Wayne, Pennsylvania) was barred by FINRA for allegedly receiving approx. $160,000 from his customers after [...]
Illinois Broker, Formerly with LPL Financial, Barred by FINRA for Misappropriation of Clients’ Funds
Soreide Law Group, (888) 760-6552, obtained the following summation of information from FINRA’s website, under “Disciplinary and Other FINRA Actions, [...]
Maryland Broker Barred by FINRA for Misappropriation of Clients’ Funds
The Soreide Law Group, (888) 760-6552, has obtained the following summation from FINRA’s website, under “Disciplinary and Other FINRA Actions, [...]
Chicago Broker Barred by FINRA Over Investigation into Forged Signatures and Misappropriation of Clients’ Funds
Soreide Law Group, (888) 760-6552, obtained the following summation from FINRA’s website, listed under “Disciplinary and Other FINRA Actions, May, [...]
New York Broker Barred by FINRA for Misappropriation of Clients’ Funds
Registered Representative, John Cherry III, New York, NY CRD # 1891720, has been barred by FINRA and ordered to pay [...]
Miami Broker Barred by FINRA for Misappropriation
The following information is located on FINRA’s website under “Disciplinary and Other FINRA Actions, February, 2014.” Violeta Maria Godoy Zuniga [...]
Another JP Turner Broker Barred by FINRA
The Financial Industry Regulatory Authority, FINRA, has barred former JP Turner & Company broker Neil Copeland Winterrowd, of Coto de [...]
Sarasota Principal Broker Fined and Suspended by FINRA for Participation in PIPE Transactions
Soreide Law Group, (888) 760-6552, has obtained the following summation of information from FINRA’s website under “Disciplinary and Other FINRA [...]
Florida Broker Barred by FINRA for Misappropriation of Funds
The following summation of information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2014.” Donald Richard [...]
Idaho Broker Barred by FINRA over Allegations of Misappropriation of $600K
Soreide Law Group, (888) 760-6552, has obtained the following summation of information from FINRA’s website under “Disciplinary and Other FINRA [...]