Chase Bishop Casson (CRD #4404195, Carlsbad, California) was barred by FINRA for allegedly failing to provide FINRA with requested information and documentation as part of an investigation into whether he was engaged in private securities transactions. FINRA's findings stated that after receiving a fourth request, Casson informed FINRA that he would not cooperate or provide […]

Blair Christopher Mielke(CRD #1878222, Evansville, Indiana) and Frederick William Shultz(CRD #5239977, Evansville, Indiana) were barred by FINRA for allegedly participating in undisclosed private securities transactions, engaging in undisclosed outside business activities, and failure to report their outside business activities to their firm. FINRA's sanctions also alleged that Shultz and Mielke failed to respond to FINRA’s […]

The following summation of information is from FINRA’s website under “Disciplinary and Other FINRA Actions, May, 2014.” Call Soreide Law Group at (888) 760-6552. Jeremy Gerald Tintle (CRD #2817173, Hawley, Pennsylvania) was barred by FINRA for allegedly participating in private securities transactions without providing his firm with prior written notice of the proposed transactions. Tintle […]

Marilyn T. Myers, CRD No. 1620382, has been fined $20,000 and suspended for two years by FINRA. According to FINRA's investigation, from September 2009 through February 2011, Marylin T. Myers participated in private securities transactions without notifying her firm, or obtaining the written approval from her firm. Myers invested in a privately-held company known as […]

Soreide Law Group, (888) 760-6552, has obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, July, 2013.” Richard Allen Barnett (CRD #2347495, Registered Representative, Grand Blanc, Michigan) was fined $15,000 and suspended from association with any FINRA member in any capacity for one year and three months. Without admitting or denying […]