misappropriation of funds by broker Archives

Former Louisiana Broker, RALPH WILLARD SAVOIE, Charged with Fraud

Former Louisiana Broker, RALPH WILLARD SAVOIE, Charged with Fraud

Editor SLG2017-12-27T19:28:00+00:00December 27th, 2017|

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

Former Pennsylvania Broker, David Wells, Barred by FINRA

Editor SLG2017-08-02T19:04:28+00:00August 2nd, 2017|

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

Securities Lawyer2016-10-18T16:56:31+00:00July 16th, 2015|

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

Securities Lawyer2016-10-18T16:59:29+00:00February 26th, 2015|

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

Securities Lawyer2016-10-18T17:00:10+00:00February 2nd, 2015|

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

Securities Lawyer2016-10-18T17:01:05+00:00January 4th, 2015|

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

Securities Lawyer2016-10-18T17:01:51+00:00November 19th, 2014|

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

Securities Lawyer2016-10-18T17:02:21+00:00October 20th, 2014|

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

Securities Lawyer2016-10-18T17:02:54+00:00September 12th, 2014|

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

Securities Lawyer2016-10-18T17:03:42+00:00July 22nd, 2014|

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

Securities Lawyer2016-10-18T17:03:58+00:00June 24th, 2014|

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

Securities Lawyer2016-10-18T17:04:24+00:00May 27th, 2014|

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

Securities Lawyer2016-10-18T17:04:38+00:00May 23rd, 2014|

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

Securities Lawyer2016-10-18T17:04:38+00:00May 22nd, 2014|

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

Securities Lawyer2016-10-18T17:05:38+00:00April 16th, 2014|

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

Securities Lawyer2016-10-18T17:06:08+00:00March 5th, 2014|

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

Securities Lawyer2016-10-18T17:06:40+00:00January 30th, 2014|

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

Securities Lawyer2016-10-18T17:06:59+00:00January 23rd, 2014|

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

Securities Lawyer2016-10-18T17:07:19+00:00January 22nd, 2014|

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

Securities Lawyer2016-10-18T17:07:38+00:00January 3rd, 2014|

Soreide Law Group, (888) 760-6552, has obtained the following summation of information from FINRA’s website under “Disciplinary and Other FINRA [...]