Soreide Law Group obtained the following information from FINRA’s website located under, “Disciplinary and Other FINRA Actions, April 2020.” Jeffrey Scott Nimmow (CRD #2693601, Merrimac, Wisconsin) According to FINRA, an Acceptance, Waiver, and Consent (AWC) was issued in which Jeffrey Scott Nimmow was barred from association with any FINRA member in all capacities. Without admitting […]

FINRA Issues Fine, Suspension To ROGER OWENS The Financial Industry Regulatory Authority (“FINRA”) announced on August 14, 2019 that it issued a 12-month suspension and $10,000 fine to Cetera Advisors securities broker Roger Owens (CRD#: 2359204, Elkton, Maryland). Evidently, Owens submitted a Letter of Acceptance, Waiver and Consent (“AWC”) on July 15, 2019, which FINRA […]

ALAN NEW Charged In SEC Complaint Soreide Law Group is evaluating possible claims on behalf of investors who sustained losses from NYLife Securities LLC broker Alan New (CRD#: 2892508, Fort Wayne, Indiana). Notably, SEC filed a Complaint against New on December 17, 2018 in the United States District Court for the Southern District of Indiana […]

Did you suffer losses due to the recommendations in the Woodbridge Group of Companies from the former broker, now barred by the Financial Industry Regulatory Authority, Inc. (FINRA), from Albertville, Alabama, FLOYD EARL POWELL (CRD#: 2220029) Two years ago the alleged $1.2 billion Ponzi scheme, the Woodbridge Group of Companies, collapsed creating devastating losses for […]

ATTENTION INVESTORS: FINRA Suspends Foresters Equity Services’ John Ernst For Woodbridge Notes Sales The Financial Industry Regulatory Authority (“FINRA”) imposed a suspension and $5,000 fine against Foresters Equity Services broker John Ernst (CRD#: 1958252, San Diego, California) for selling away. Specifically, Ernst submitted a Letter of Acceptance, Waiver and Consent #: 2018057754401 on March 12, […]

FLOYD EARL POWELL (FLOYD POWELL) CRD#: 2220029 was barred on February 13, 2019, by the Financial Industry Regulatory Authority Inc. (FINRA) from acting as a broker or otherwise associating with a broker-dealer firm for allegedly selling nearly $3.5 million of promissory notes relating to the Woodbridge Group of Companies, a purported real estate investment fund […]