Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Colin Christy Kelty (also known as Colin Kelty) [CRD: 5859007, Oakbrook, Illinois]. Colin Kelty has been registered with Cetera Investment Services LLC since December 6, 2011, and Cetera Investment Advisers LLC since January 21, 2014. Previously, Kelty worked for Vision Investment Services, Inc., from […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Mark David Wolpert [CRD: 2692529, Plymouth, Minnesota]. Wolpert joined MSI Financial Services Inc. on March 25, 2017. He also previously worked for MetLife Securities. Recently, a client initiated a complaint about Wolpert, accusing him of making sales practice violations relating to REITs and variable […]

Soreide Law Group is currently investigating potential claims on behalf of individuals who may have suffered financial losses due to the actions of securities broker and financial advisor, John Kevin Barrett [CRD#: 4748518, Westlake Village, California]. Evidently, Barrett worked for Emerson Equity LLC in Westlake Village, CA, from January 7, 2015, to February 3, 2021. […]

The Florida-based Soreide Law Group obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions, October 2016.” Winston W. Turner (CRD #5965386, Tampa, Florida) was barred by FINRA for allegedly falsifying information relating to variable annuity transactions. FINRA’s findings stated that Turner misrepresented the source of funds in variable annuity application materials […]

The Financial Industry Regulatory Authority (FINRA) named eight products it will be monitoring in 2015. These are products which could lead to risks for investors, many of whom do not know enough about the products before investing in them. FINRA feels brokers also need to learn more about these products before they sell them to […]

Soreide Law Group recently obtained the following summary of information from FINRA's Website under "Disciplinary and Other Actions, November 2014." William Brian Mulder (CRD #1474998, Tulsa, Oklahoma) was barred by FINRA for failure to provide FINRA with documents and information. FINRA's findings stated that their requests for information were related to their investigation into the […]

The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Elmer Wayne Bullis (CRD #1718482, Registered Representative, Richmond, Virginia) was fined $15,000 and suspended from association with any FINRA member in any capacity for three months. Without admitting […]

The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Elmer Wayne Bullis (CRD #1718482, Registered Representative, Richmond, Virginia) was fined $15,000 and suspended from association with any FINRA member in any capacity for three months. Without admitting […]

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.” Debra Kay Littlefield (CRD #2312877, Registered Representative, Inman, South Carolina) was fined $5,000 and suspended from association with any FINRA member in any capacity for two months. Without admitting or […]