FINRA Bars LPL Financial Securities Broker Rhett Bedwell After Investigating Client Disputes, Termination From LPL The Financial Industry Regulatory Authority (FINRA) barred securities broker Rhett Douglas Bedwell (CRD#: 5664392, Rogers, Arkansas). This is to resolve allegations of his misconduct during the regulator’s investigation into his possible misuse of a client’s funds and possible forgery when […]

Securities Broker Jay Weiser (Des Pain Financial) Involved In Investment Disputes The Financial Industry Regulatory Authority (“FINRA”) reports new important information in regard to securities broker Jay R. Weiser (CRD#: 1511042, Collinsville, Illinois). Notably, the securities broker, who worked for Des Pain Financial Corporation from June 2000 to June 2018, is involved in two investor […]

Farmers Financial Solutions Broker Kirk Bertsch Faces Investor Dispute, FINRA Sanctions For Woodbridge Transactions The Financial industry Regulatory Authority (“FINRA”) reveals that an investor disputed the sales practices of securities broker Kirk James Bertsch (CRD#: 4132889, Spearfish, South Dakota). The securities broker worked for Farmers Financial Solutions as a securities broker from 2008 to 2018, […]

Investors Indicate That Principal Securities' John Krohn Was Selling Away Soreide Law Group is reviewing possible investor claims of suitability, misrepresentation and other sales practice violations against securities broker John Michael Krohn (CRD#: 2722975, West Des Moines, Iowa). Notably, Krohn worked for Principal Securities from 1996 to 2017. His sales practices during that period have […]

JEFF NIMMOW Sell You Bad Investments? Soreide Law Group is considering bringing claims on behalf of investors who incurred losses by investing with Jeff Nimmow (CRD#: 2693601, Hillside, Illinois). According to Nimmow’s Financial Industry Regulatory Authority (“FINRA”) BrokerCheck Report, at least four clients complained about his sales practices. Not only that, but Forest Securities discharged […]

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.” GlobaLink Securities, Inc. (CRD® #29721, Pasadena, California) and Junhua Michael Liao (CRD #4278425, Registered Principal, San Gabriel, California) the firm was fined $20,000, jointly and severally with Liao. Liao was […]

Myrron Marcos Martinez (CRD #4369254, Registered Representative, Sarasota, Florida) was fined $5,000 and suspended from association with any FINRA member in any capacity for four months. Without admitting or denying the findings, Martinez consented to the described sanctions and to the entry of findings that he participated in an outside business activity without providing his […]

Soreide Law Group, PLLC, is currently investigating the sale of promissory notes to investors by their broker/dealers. Again, many conservative investors have said they were sold these notes as “low risk” when in fact, they were highly risky or fraudulent. These investments also paid significantly higher fees to the brokers, making them much more motivated […]

The investors of RMC Medstone Capital V Notes (RMC Medstone), received a Notice of Default in September, 2011, informing them that their investment in this company was now worthless. Investors in these promissory notes allege they were sold these notes as 'low risk' and would be a 'safe' product in their otherwise conservative portfolio. These alleged representations […]