The following information was found on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013.” Call Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Chadrick David Kelly (CRD #2712230, Registered Representative, Denham Springs, Louisiana) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Kelly […]

The following information was found on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013.” Call Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Chadrick David Kelly (CRD #2712230, Registered Representative, Denham Springs, Louisiana) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Kelly […]

The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, July, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Edwin Efrain Mosquera (CRD #3049414, Registered Representative, Howard Beach, New York) was barred from association with any FINRA member in any capacity. In light of Mosquera’s financial status, […]

A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered Goldman Sachs & Co. to pay approximately $2.5 million to Tracy Landow, a client who said she was sold an inappropriate investment in a private-equity fund. Ms. Landow accused Goldman Sachs and her broker of making an unsuitable recommendation in the Goldman Sachs Special Opportunities […]

In a February 17th., 2012, article for InvestmentNews.com, Bruce Kelly writes that a broker formally affiliated with Morgan Stanley Smith Barney LLC, Berthel Fisher & Co. Financial Services Inc. and LPL Financial LLC was arrested in Oregon this month for allegedly stealing $584,000 from three investors. The now ex-broker, James Scott McKee, was charged Feb. 9 […]

 In a November 15th., 2011, Bloomberg Businessweek article they write that a unit of JPMorgan Chase & Co. was ordered to reimburse investment customers more than $1.9 million and was fined $1.7 million over how it sold unit investment trusts and floating-rate loan funds. FINRA, the Financial Industry Regulatory Authority announced the settlement on Tuesday after […]

WASHINGTON —It was announced on FINRA's website that The Financial Industry Regulatory Authority (FINRA) has suspended William Bailey, a former NEXT Financial Group, Inc. broker of Mesa, Arizona, from the securities industry for two years for unsuitable and excessive trading of mutual funds and variable annuities. Bailey also engaged in discretionary trading without receiving prior written […]