Soreide Law Group obtained the following information fro:m FINRA’s Disciplinary Report and BrokerCheck: ERIC S. DARTY (ERIC DARTY) CRD#: 6314905 a broker formerly with BBVA Securities in Birmingham, Alabama, was barred by FINRA on February 14, 2017, for failing to cooperate with a FINRA investigation into alleged misconduct. The FINRA report stated that ERIC DARTY […]

On February 14, 2017, the Financial Industry Regulatory Authority (FINRA) announced that a FINRA hearing panel has expelled Plano, TX-based Red River Securities, LLC, and barred its CEO, Brian Keith Hardwick. Red River Securities, LLC, and Hardwick, were ordered by FINRA to jointly and severally pay $24.6 million in restitution to clients for fraudulent sales […]

The South Florida-based Soreide Law Group (888-760-6552) obtained the following information on FINRA’s website: ALEJANDRO FALLA (ALEJANDRO FALLA CARRASCO) (CRD #5064828, Miami, Florida) According to FINRA’s BrokerCheck, in September 2016, ALEJANDRO FALLA was named a respondent in a FINRA complaint alleging that as the Chief Executive Officer and head trader of BAC FLORIDA INVESTMENTS, he […]

Soreide Law Group (888-760-6552) obtained the following from FINRA’s February, 2017 Disciplinary Report: Thomas Joseph Vilord (CRD #4261608, Sewell, New Jersey) was barred by FINRA for allegedly participating in undisclosed private securities transactions* involving more than $347,500 in unregistered corporate debenture notes sold to clients of his member firm. FINRA’s findings stated that Thomas Joseph […]

Soreide Law Group (888-760-6552) obtained the following from FINRA’s February 2017 Disciplinary Report: Marc Donald Bushey (CRD #2405482, Plympton, Massachusetts) was barred by FINRA for allegedly converting and improperly using a trust fund for his personal use, which he neither owned nor was entitled to possess. FINRA’s findings stated that Bushey assisted a client and […]

Soreide Law Group obtained the following information from FINRA’s February 2017 Disciplinary Report: Daryl Eugene Allison (CRD #3686, Lubbock, Texas) was fined $10,000 and barred by FINRA for allegedly failing to supervise two registered representatives’ offers and sales of closed-end mutual funds to clients by ignoring or failing to detect numerous red flags indicating that […]

MATTHEW CHRISTOPHER MACZKO (MATHEW MACZKO) CRD#: 1888519 a former Wells Fargo Advisors registered representative, has been barred by  the Financial Industry Regulatory Authority Inc. (FINRA).  Matthew Maczko was allegedly trading excessively in the accounts of an elderly client and then generating hundreds of thousands of dollars in commissions for himself. On February 9th., 2017, Matthew […]

Soreide Law Group (888-760-6552) obtained the following information from the Disciplinary Report January 2017, on FINRA’s website: Kevin Paul Hudak (CRD #4439153, Albuquerque, New Mexico) was barred by FINRA for allegedly submitting non-solicitation forms to his member firm that had non-authentic client signatures. FINRA’s findings stated that Hudak’s firm required these non-solicitation forms in order […]

The Florida-based Soreide Law Group (888-760-6552) obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions, January 2017:” Shannon Lynn Parkoff-Moskoff (CRD #5750649, Boca Raton, Florida) (aka: SHANNON LYNN MOSKOFF,SHANNON LYNN PARKOFF,SHANNON PARKOFF) was barred by FINRA for allegedly accessing another registered representative’s credit card account and, without his authorization, converted credit […]