Soreide Law Group is investigating possible investor claims against securities broker Lynn Witherspoon Bryant (also known as Deborah Bryant) [CRD: 3216344, Hurst, Texas]. Notably, FINRA sanctioned the securities broker, who worked for LPL Financial LLC. Allegedly, Bryant failed to do what FINRA investigators asked of him in an investigation, in violation of FINRA rules. Here […]

Soreide Law Group is investigating possible investor claims against securities broker Jimmy Yang Driggers AKA Jimmy Driggers [CRD #: 1359593, Sarasota, FL]. Driggers worked for (1) Morgan Stanley from 2009-2021; (2) Morgan Stanley & Co. Inc. from 2008-2009; and (3) UBS Financial Services from 1996-2008. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that Morgan […]

Securities Broker Todd Phillips Serves Suspension As Securities Broker, Faces ProEquities Investors' Disputes About FIP LLC Purchases Soreide Law Group provides you with important information relating to sanctions and investment disputes reported on the Financial Industry Regulatory Authority (FINRA BrokerCheck record of securities broker David Todd Phillips (CRD#: 3094195, Gilbert, Arizona). Namely, Phillips, who worked […]

Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, July, 2013.” Scott Fitzgerald Wright (CRD #2087728, Registered Representative, San Clemente, California) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Wright failed […]

The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, July, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Conrad Tambalo Bautista (CRD #1582353, Registered Representative, McKinney, Texas) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Bautista consented […]

The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” David Darrell Anthony (CRD #4671195, Registered Representative, Mobile, Alabama) was fined $7,500 and suspended from association with any FINRA member in any capacity for six months. Without admitting or denying the allegations, Anthony consented to the described sanctions and to […]

Michael John Hester (CRD #3044429, Registered Representative, Tampa, Florida) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Hester consented to the described sanction and to the entry of findings that he engaged in a private securities transaction by accepting checks totaling $20,000 from individuals to purchase […]

Alice Hale Everett (CRD #1867376, Registered Representative, Hialeah, Florida) was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations by FINRA, Alice Everett consented to the described sanction and to the entry of findings that she failed to respond to FINRA requests for information regarding a possible private […]

David Marasek (CRD #2866848, Registered Representative, Boca Raton, Florida) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended from association with any FINRA member in any capacity for 10 business days. Without admitting or denying the findings, Marasek consented to the described sanctions and to the entry of […]