David L. Rothman Charged with FRAUD on Elderly Clients
On the SEC's (Securities and Exchange Commission) website, it was announced they filed an injunctive action in the United States [...]
St. Petersburg, FL, Bank Manager Barred by FINRA for Misappropriation of Funds
The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, November, 2012.” Brennan R. Lollar (CRD #5287737, [...]
Roman Sledziejowki Defrauded Fellow Poles $4 mill
FINRA, the Financial Industry Regulatory Authority, alleges Roman Sledziejowski, the Polish president and owner of TWS Financial, LLC, in Brooklyn, [...]
FINRA Improves ‘BrokerCheck’ Capabilities
FINRA, the Financial Industry Regulatory Authority announced that it has added features to BrokerCheck to help users more easily access [...]
Cease-and-Desist Order Filed by FINRA Against WR Rice Financial Services and Owner Joel Wilson
FINRA, the Financial Industry Regulatory Authority, filed a Temporary Cease-and-Desist Order (TCDO) on November 5th., 2012, halting further fraudulent sales [...]
Oregon Financial Planner Barred by FINRA
A financial planner from Eugene, Oregon, James Scott McKee, was barred from the industry after he failed to comply with [...]
Did You Invest With Vincenzo (Vince) Covino?
Soreide Law Group, PLLC, has launched an investigation into the suspended Idaho broker, Vincenzo (Vince) Covino. Covino was employed at [...]
Did You Invest in These Oil and Gas Funds?
Did you invest in Mountain V Oil and Gas, or Ridgewood Energy Funds I through Z? Typically, investing in an [...]
Did You Invest in ETF’s?
Soreide Law Group, PLLC, is currently investigating the marketing and sales of non-traditional exchange traded funds (ETFs) to investors. Many [...]
FINRA Fines and Suspends Winter Haven, FL, Rep
Edgar Allen Thomas (CRD #2231242, Registered Principal, Winter Haven, Florida) was fined $5,000 and suspended from association with any FINRA [...]
FINRA Report on Misappropriating Customers Funds
FINRA publishes this quarterly review to provide firms with a sampling of recent disciplinary actions involving misconduct by registered representatives. [...]
Connecticut Broker, Stephen Blankenship, Charged by SEC for Stealing Investor Funds
The Securities and Exchange Commission (SEC) charged Stephen B. Blankenship, of New Fairfield, Connecticut, and Deer Hill Financial Group, LLC, [...]
FINRA Warns of Sharing Commissions with Unregistered Individuals and Providing False Information to Firms
(FINRA publishes a quarterly review to provide firms with a sampling of recent disciplinary actions involving misconduct by registered representatives. [...]
FINRA Wants Brokers Records More Accessible to Investors
The Financial Industry Regulatory Authority also known as FINRA, is hoping to make information about brokers more accessible to the [...]
Georgia Rep Barred by FINRA for Giving Out Client’s Confidential Bank Account Information
Carlos Dawkins aka Andy Dawkins (CRD #5340915, Registered Representative, Douglasville, Georgia) submitted a Letter of Acceptance, Waiver and Consent in [...]
FINRA Fines and Suspends Boca Raton Rep
David Marasek (CRD #2866848, Registered Representative, Boca Raton, Florida) submitted a Letter of Acceptance, Waiver and Consent in which he [...]
Lawsuit Alledges Harvey Kadden, a Top Broker at MSSB, is Churning Customer Accounts
Clifford Jagodzinski, formerly of Morgan Stanley Smith Barney LLC (MSSB), claims he was fired for blowing the whistle on one [...]
JP Turner & Co, Atlanta, Charged with ‘Churning’ Customers’ Accounts Over $2.7million
The Securities and Exchange Commission alleged three former brokers at JP Turner & Co. in Atlanta, traded excessively in accounts [...]
ATTENTION: Investors Located in the United Kingdom
Recently, certain United States based brokerage firms have been contacting investors located in England, Scotland, Wales, and Ireland, soliciting customers [...]
Article Quotes Securities Attorney Lars Soreide
The following is an article from the Reno Gazette-Journal, from Sept. 4th., 2012, written by Jaclyn O'Malley: Former Reno financial [...]