Purshe Kaplan, FINRA Investigate Brian Bogart For Involvement In Private Fund Soreide Law Group is reviewing possible investor disputes against securities broker Brian Bogart (CRD#: 1186538, McLean, Virginia). Notably, Bogart’s Financial Industry Regulatory Authority (“FINRA”) BrokerCheck profile discloses two regulatory events, two bad employment breakups, and at least twelve client disputes. Here’s a brief summary […]

STEPHEN PAUL MOSLEY (S. PAUL MOSLEY, STEPHEN P MOSLEY) CRD#: 4900781 formerly with Ameriprise Financial of Lake Havasu, Arizona, was discharged in November of 2016, according to the report in FINRA’s BrokerCheck for alleged, “compliance policy violations related to complying with disciplinary action and heightened supervision, soliciting a prohibited security and suitability of a transaction.” […]

Chris Fulco (CRD #4093586, Staten Island, New York) barred by FINRA for allegedly participating, either directly or indirectly, in the sales of a non-public company’s shares away from his member firms without providing written notice to or receiving approval from his firms. FINRA's findings stated that Fulco concealed his involvement in the transactions, from one […]

Securities Attorney, Lars Soreide, of Soreide Law Group was recently quoted in an article from the Reno Gazette-Journal, written by Jaclyn O’Malley regarding former broker Gary Harrison Lane. The quote reads as follows: "Florida securities attorney Lars Soreide said Tuesday he has represented a few clients who have recently settled with broker firms connected to […]

The FBI is investigating two former Edward Jones brokers based in South Dakota for their role in a “selling-away” case that involved raising money from clients who invested in an alleged Ponzi scheme writes Bruce Kelly in a September 28, 2011, article in InvestmentNews.com. Kelly writes that according to Jones, a client brought the matter […]

In an October 2nd, 2011, InvestmentNews.com article, Bruce Kelly writes that stockbrokers who sell products that promise high returns without the approval of their broker-dealers once again have become a leading concern for state securities regulators. This practice is known as “selling away,” and is one of the most common difficulties that independent and franchisee broker-dealers face in […]