Soreide Law Group is investigating possible investor claims against Lisa Stevenson (also known as Lisa Gastaldo) (CRD: 6191058, New Albany, Ohio). Evidently, FINRA sanctioned the securities broker, who worked for The Huntington Investment Company. Allegedly, Stevenson failed to provide information and documents to FINRA when it investigated possible FINRA rule violations. Here is a brief […]

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.” Janet Louise Frakes (CRD #3120413, Registered Representative, Independence, Kentucky) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Frakes consented to the […]