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 […]

Soreide Law Group obtained the following information from FINRA’s Disciplinary Actions January 2017: Stuart Graham Dickinson (CRD #1047824, Highland Park, Texas) was barred by FINRA and required to pay $924,000, plus interest, in restitution to clients for allegedly selling securities without reasonable grounds for believing that the investment was suitable for any investor. FINRA’s findings […]

Soreide Law Group (888-760-6552) obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions December, 2016.” Gregory Russel Bauer (GREGORY BAUER) (CRD #2552478, Saxonburg, Pennsylvania) was barred by FINRA for allegedly forging his member firm clients’ signatures, which caused the unauthorized sale of securities, intercepted checks in the mail, deposited the checks […]

The Soreide Law Group (888-760-6552) obtained the following information on FINRA’s website under, Disciplinary and Other FINRA Actions December 2016.” Kenley Brisard (CRD #2641960, Weston, Florida) FINRA Case #2010022046101 Philip Brisard (CRD # 2646923, Wellington, Florida) FINRA Case #2010022046101 Were both barred by FINRA for allegedly selling an unregistered security that consisted of interest-only strips […]