The following summation of information was found on FINRA's website under "Disciplinary and Other FINRA Actions, February, 2014."
Robert Lee Bateman (CRD #1459540, Registered Representative, Ogden, Utah)
was fined $25,000 and suspended by FINRA for 18 months. Robert Bateman consented to the sanctions and findings that he accepted gifts from clients totaling $151,000 and borrowed $80,000 from his firm's clients, both of which violate the policies and proper procedures of his firm.
According to FINRA, Robert Bateman composed a promissory note which stated the time the loan would be repaid and the interest amount. Additionally, FINRA's findings reported that Bateman did not report this on the firm's compliance questionnaires. The clients who gave the gifts to Robert Bateman refused repayment for their gifts.
The loans were repaid to the customers who loaned Robert Bateman money in full. The suspension is in effect from January 6, 2014, through July 5, 2015.
(FINRA Case #2012034066901)
Robert L. Bateman was previously registered with the following FINRA firm(s) according to FINRA's BrokerCheck:
LINCOLN FINANCIAL ADVISORS CORPORATION (CRD# 3978) - OGDEN, UT
02/1986 - 09/2012
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (CRD# 2580) - FORT WAYNE, IN
02/1986 - 05/2006
LINCOLN NATIONAL PENSION INSURANCE COMPANY (CRD# 10293) 02/1986 - 01/1989
The information available on FINRA's website ends here.
The Soreide Law Group represents clients nationwide in arbitrations before FINRA. Call an attorney for a free consultation on how to potentially recover your investment losses at 888-760-6552.
Summit Brokerage and Independent Financial Group each appear on a pending customer claim naming Gilbert Conrad (CRD 2746778). Both claims are unproven allegations. His BrokerCheck report also lists settled disputes at Arkadios Capital and Independent Financial Group.
On August 6, 2026, a customer filed a $400,000 FINRA arbitration naming Chad McQuade (CRD 5436281) and Northwestern Mutual. The claim involves outside, third-party real estate investments. It is pending, and McQuade disputes it in a written response.
Christopher Miller (CRD 4044818) has a customer dispute on BrokerCheck that settled on October 7, 2026 for $50,901. The disclosure lists Emerson Equity as the firm.
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