Soreide Law Group is investigating possible investor claims against securities broker Scott Reed AKA Scott Wayne Reed [CRD#: 3007033, Scottsdale, AZ]. Notably, Arizona Corporation Commission Securities Division sanctioned the securities broker, who worked for Wells Fargo Advisors. Allegedly, Reed engaged in private securities transactions. Here is a brief summary of Arizona Corporation Commission Securities Division’s […]

Soreide Law Group is investigating possible investor claims against securities broker Kevin Nevin AKA Kevin Mark Nevin [CRD#: 2460059, Edina, MN]. Notably, FINRA sanctioned the securities broker, who worked for Dempsey Lord Smith LLC. Allegedly, Nevin failed to respond to FINRA’s request for information. Here is a brief summary FINRA’s allegations against Nevin. FINRA Sanctions […]

Soreide Law Group is investigating possible investor claims against securities broker Bryon Edwin Martinsen [CRD#: 1621649, Kings Park, NY]. Martinsen worked for (1) Centaurus Financial Inc. from 1999-2022; and (2) AXA Advisors LLC from 1987-1999. Notably, Financial Industry Regulatory Authority (FINRA) BrokerCheck sanctioned Martinsen for allegedly selling away. Also, Centaurus Financial investors disputed the sales […]

The Financial Industry Regulatory Authority (FINRA) reports allegations of sales practice violations by securities broker Daniel Minich [CRD#: 6465746, Bradford, PA]. Minich worked for Ameriprise Financial Services from 2015-2020. Notably, FINRA sanctioned the securities broker for selling away. However, Minich denies the allegations. Read on to learn more about the allegations against Minich. FINRA Sanctions […]

The Financial Industry Regulatory Authority (FINRA) reports allegations of sales practice violations by securities broker Sean Daniel McDevitt [CRD #: 2786216, Chappaqua, NY]. McDevitt worked for (1) Campfire Capital from 2019-2021; (2) WoodRock Securities LP from 2015-2016; and (3) FTN Financial Securities Corp from 2005-2006. Evidently, a Campfire Capital client disputed the sales practices of […]

Florida-based Soreide Law Group has obtained the following summation of information from FINRA's Website under "Disciplinary and Other FINRA Actions February 2015." Dawson James Securities, Inc. (CRD #130645, Boca Raton, Florida) was censured and fined $30,000 for allegedly failing to establish and implement an adequate system to determine whether a former registrant’s disclosed outside business […]

Marc William Evans (CRD #859585, Tulsa, Oklahoma) was fined $10,000, suspended by FINRA for 13 months and ordered to pay $56,572, plus interest, in disgorgement of commission. The sanctions take into account the suspension and fine the Oklahoma Department of Securities imposed against Marc Evans. Allegedly Evans participated in private securities transactions for selling compensation […]

Donald L. Bratten (CRD #1904756, North Platte, Nebraska) was assessed a deferred fine of $10,000 and suspended by FINRA member for four months for allegedly participating in a private securities transaction without providing prior written notice to or obtaining approval from his member firm. FINRA's findings stated that Bratten solicited two firm clients to invest […]

Jodie Linn Miller (CRD #4772684, St. Petersburg, Florida) was assessed a deferred fine of $53,225, including disgorgement of $38,225, plus interest, and suspended by FINRA 18 months. Miller allegedly participated in private sales of $764,500 worth of a company’s securities for which she earned commissions of approximately $38,225 without notifying either of her member firms […]