Soreide Law Group obtained the following summation of information from FINRA's Website under "Disciplinary and Other Actions, December 2014."
Robert Charles Mangold (CRD #1665614, Mt. Laurel NJ)
was suspended by FINRA for 60 days for allegedly soliciting and receiving loans of $56,000 from two of his clients.
According to FINRA, both of his member firms prohibited its registered representatives from borrowing money from customers. Mangold made partial repayments totaling $25,000 to the two customers.
Mangold's suspension is in effect from November 3, 2014, through January 1, 2015.
(FINRA Case #2013037265701)
Bob Mangold was registered in the securities industry for 24 years and was previously registered with the following securities firm(s):
09/2012 - 06/2013 LPL FINANCIAL LLC (CRD# 6413) - VENTNOR CITY, NJ
09/2010 - 09/2012 FINANCIAL NETWORK INVESTMENT CORPORATION (CRD# 13572) - MT LAUREL, NJ
01/2001 - 09/2010 BCG SECURITIES, INC. (CRD# 70) - VOORHEES, NJ
07/1999 - 01/2001 AXA ADVISORS, LLC (CRD# 6627) - NEW YORK, NY
07/1999 - 01/2000 THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (CRD# 4039) - NEW YORK, NY
09/1995 - 06/1999 ASCEND FINANCIAL SERVICES, INC. (CRD# 15296) - ST. PAUL, MN
03/1993 - 12/1994 POLARIS FINANCIAL SERVICES, INC. (CRD# 14521) - CONCORD, NH
06/1990 - 02/1992 EQUICO SECURITIES, INC. (CRD# 6627)
06/1990 - 02/1992 THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (CRD# 4039)
05/1987 - 02/1992 EQUICO SECURITIES, INC. (CRD# 6627) - NEW YORK, NY
05/1987 - 02/1992 THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (CRD# 4039) - NEW YORK, NY
02/1990 - 06/1990 THE CODRICK FINANCIAL GROUP, INC. (CRD# 18312) - GREENSBURG, PA
FINRA's info ends here.
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