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October 16, 2024
Kurt Berry Fined for Unauthorized Securities Transactions

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker / financial advisor Kurt Allen Berry [CRD: 4550773, Elizabethton, Tennessee]. Berry worked for Vanderbilt Securities LLC from November 1, 2019, to July 7, 2022, and Regulus Advisors LLC from October 5, 2016, to November 6, 2019. Recently, Berry has faced sanctions and a client […]

October 4, 2024
Azmi Sharif Allegedly Misrepresented Private Placements

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Azmi Patrick Sharif [CRD: 6481342, Elmhurst, Illinois]. Evidently, Sharif worked for LPL Financial LLC from July 19, 2018, to January 19, 2023, and has since worked for KCD Financial Inc. and Fourstar Wealth Advisors LLC in Oakbrook Terrace, Illinois. Sharif is involved in client […]

April 13, 2024
Scott Bremus Fined, Involved In Investor Disputes

Financial Industry Regulatory Authority (FINRA) sanctioned broker Scott Michael Bremus [CRD: 4073006, Dacula, Georgia], and investors complained about his sales practices, according to disclosures on BrokerCheck. Evidently, Bremus most recently worked for LPL Financial LLC from October 14, 2016, to October 29, 2021. Here’s more about these disclosures. FINRA Suspended Bremus For Private Securities Transactions […]

November 17, 2023
Investigation Into Broker Jason Hawke

Soreide Law Group is currently investigating potential claims on behalf of investors who may have incurred losses due to the actions of securities broker Jason Steven Hawke (also known as J. Steven Hawke) [CRD#: 4177415, Meridian, Idaho]. Evidently, Hawke is registered with D.H. Hill Securities, LLLP since October 2020, and Hawke Financial Group since September […]

November 7, 2023
FINRA Fines NSC Securities Broker Andrew Edenbaum

Soreide Law Group is conducting an investigation into potential claims on behalf of investors who may have incurred financial losses due to the actions of securities broker Andrew Benjamin Edenbaum [CRD#: 3040543, Boca Raton, Florida]. Edenbaum worked for A.G.P. / Alliance Global Partners from October 2020 to March 2022 in Boca Raton, FL. He also […]

January 4, 2015
North Carolina Broker Barred by FINRA Due to Private Securities Transactions and Personal Loans from Clients

Ricky Eugene Bell (CRD #2065556, Fayetteville, North Carolina) was barred by FINRA and ordered to pay a total of $19,650, plus interest, in restitution to clients. Allegedly, Bell engaged in private securities transactions through a lending program without providing notice to, or receiving approval from, his member firm. FINRA's findings stated that Bell solicited and […]

March 20, 2013
FINRA Fined and Suspended Palm Harbor Rep

The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, March, 2013.” Jim Eugene Scala Jr. (CRD #2493873, Registered Representative, Palm Harbor, Florida) was fined $5,000 and suspended from association with any FINRA member in any capacity for 15 business days. FINRA gave Scala credit for serving a suspension imposed by his […]

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