Silverman has disclosed five more customer on FINRA BrokerCheck regarding allegations of negligence, misrepresentation, omission, breach of contract, breach of fiduciary duty, and failure to supervise registered representatives.
Soreide Law Group News
The customer has alleged failure to supervise, breach of contract, misinterpretation, fraud, negligence, and breach of fiduciary duty in connection with speculative bonds and structured notes held in the customer’s investment account.
According to the customer between December 2017 and February 2018, Lattz improperly liquidated the customer’s variable annuity account, causing the customer to experience losses and penalties.
Douglas Keith Hyer, who has been registered representative of First Allied Securities, Inc. since January 31, 2013, disclosed on FINRA BrokerCheck that he has been named in customer-initiated-related written complaint date April 21, 2018, in which the First Allied Securities customer alleged that Hyer put the customer in alternative investments that were not suitable for the customer, and made misrepresentations in reference to the liquidity of those products.
SOREIDE LAW GROUP: Julie Rae Steinbauer, Formerly with AXA ADVISORS of ORLANDO, Fined and Suspended by FINRA
Julie Rae Steinbauer (CRD #6753791, Winter Park, Florida) was assessed a deferred ãne of $5,000 and suspended from association with any FINRA member in all capacities for 18 months for allegedly possessing a prohibited device while taking the Series 7 examination.