FINRA fined securities broker Jeffrey Wayne Davidson [CRD: 4585780, Austin, Texas], and an investor complained about him. According to Financial Industry Regulatory Authority (FINRA) BrokerCheck, Davidson was employed by Purshe Kaplan Sterling Investments from 2022 to 2023. Also, he worked for Equitable Advisors LLC in 2022. The following information is an overview of the disclosures […]

Investors may have faced losses because of securities broker Lacey Elizabeth Buteyn, also known as Lacey Elizabeth DePue [CRD: 4420482, San Diego, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Notably, Buteyn joined Kingswood Capital Partners LLC in San Diego, California on December 20, 2023, and Kingswood Wealth Advisors LLC in Plano, […]

The Pompano Beach, Florida-based Soreide Law Group obtained the following information on a complaint filed against a Florida broker from FINRA’s website under, “Disciplinary and Other FINRA Actions, May 2016.” Dennis Mark Adam Merritt (CRD #1748115, Palm Harbor, Florida) was named a respondent in a FINRA complaint alleging that he participated in private securities transactions […]

Patrick Richard Harrison (CRD #4976695, Fircrest, Washington) was barred by FINRA for allegedly participating in a series of private securities transactions by introducing two senior investors to an individual who purported to sell the investors discounted shares in a publically traded regional bank without providing prior notice to his member firm. FINRA's findings stated that […]

Florida-based Soreide Law Group has obtained the following summation of information from FINRA's Website under "Disciplinary and Other Actions, January, 2015." Marc Halan Baldinger (CRD #1942349, Jensen Beach, Florida) was assessed a deferred fine of $10,000, suspended by FINRA for 18 months and ordered to pay $233,000, plus interest, in disgorgement of selling compensation. Allegedly […]