Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures concerning Patty Jane Dawson [CRD: 1280879, Ann Arbor, Michigan]. Dawson worked for Stifel Nicolaus Company Inc. from August 19, 2005, to October 10, 2023. Notably, Dawson faced client complaints during her time with the firm, with one or more investors alleging violations of securities laws. Continue reading […]

A Financial Industry Regulatory Authority (FINRA) arbitration panel awarded $1.3 million in damages to a Mississippi investor over the handling of her finances by Lanis Dale Noble, a former broker for Stifel Nicolaus & Co. Inc. The investor also is Noble's former daughter-in-law. The case was filed in August 2012, accusing Noble with churning, breach […]

The Soreide Law Group, based in Fort Lauderdale (888) 760-6552, obtained the following summary of information from FINRA’s website, under “Disciplinary and Other FINRA Actions, October, 2014.” Arhonda T’Lene Guinn (CRD #4401132, Vero Beach, Florida) was barred by FINRA for allegedly converting $12,100 from a client’s account at her firm for her own use. FINRA's […]

The Soreide Law Group is currently investigating possible legal action against the financial advisors/stock brokers who recommended the Lakeside 370 Levee District bonds of St. Charles County, Missouri, to their customers. The area’s levee district failed to make interest payments that were due to more than 200 owners of $33.9 million in bonds which had […]