Florida-based Soreide Law Group, (888) 760-6552, obtained the following summation of information from FINRA's website under “Disciplinary and Other FINRA Actions, February, 2015.” Brian Lewis Pittman (CRD #2963196, Naples, Florida) was assessed a deferred fine of $7,500 and suspended by FINRA for four months for allegedly participating in private securities transactions, specifically the sale of […]

Soreide Law Group, PLLC, a Securities Arbitration Law Firm, (888) 760-6552, found the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, March, 2013.” Robert Keith Brooks aka Robert Keith Stuart (CRD #1571789, Registered Principal, Miami, Florida) was fined $7,500 and suspended from association with any FINRA member in any capacity for two […]

Did you invest in Mountain V Oil and Gas, or Ridgewood Energy Funds I through Z? Typically, investing in an oil and gas deals or limited partnerships can be a speculative venture that may have the risks associated with illiquid investments. When making investments in oil and gas deals or energy limited partnerships, we highly […]

The following information was obtained on FINRA’s website’s ‘Disciplinary Actions, February 2012.”   Neal Seth Smalbach (CRD #1459854, Registered Principal, Palm Harbor, Florida)   submitted an Offer of Settlement in which he was barred from association with any FINRA member in any capacity.   Without admitting or denying the allegations, Smalbach consented to the described […]