Broker Roger Owens Allegedly Deceived Investors Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming information in regard to securities broker Roger Lee Owens [CRD#: 2359204, Elkton, Maryland]. Notably, at least 4 clients filed formal disputes about the securities broker, who worked for Cetera Advisors between 2007 and 2019. Also, FINRA issued him a […]

FINRA Revokes James Lamont's Securities Registration Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming information in regard to securities broker James Marten Lamont [CRD#: 2846228, San Francisco, California], who worked for securities firms Independent Financial Group (2006 to 2015) and Whitehall-Parker Securities (2015 to 2019). Evidently, FINRA revoked Lamont’s registration on March 13, […]

Soreide Law Group obtained the following information on FINRA’s website from the January 2020 Disciplinary Actions on the following broker:  FREDRICK MARTIN RANDHAHN (FRED RANDHAHN) CRD#: 1338801   On November 14, 2019, an AWC was issued in which FREDRICK MARTIN RANDHAHN was assessed a deferred fine of $5,000, suspended from association with any FINRA member […]