This summation of information was found on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2014.” Soreide Law Group (888) 760-6552. World Trade Financial Corporation (CRD #42638, San Diego, California), Jason Troy Adams (CRD #2137404, La Mesa, California), Frank Edward Brickell (CRD #3257725, Encinitas, California) and Rodney Preston Michel (CRD #1275392, San Diego, California). […]

Soreide Law Group, PLLC, (888) 760-6552, has obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, May, 2014.” The information has been condensed. Global Hunter Securities, LLC (CRD #123003, New Orleans, Louisiana) was censured and fined $35,000 for allegedly failing to establish anti-money laundering (AML) procedures. The AML procedures are designed […]

Lars Soreide, Esq., of Soreide Law Group, is representing investors from Texas and Maryland before the Finanical Industry Regulatory Authority (FINRA) who filed claims against Matthew A. Bell (CRD# 3091864) for his conduct while at WFG Investments. The lawsuit alleges that Bell recommended inappropriate investments including, but are not limited to: penny stocks such as […]