Regulators Suspend Thrivent Broker Robert William Ward Robert William Ward (CRD#: 4324025, Eagan, Minnesota) has been a registered representative of Thrivent Investment Management, Inc. since May 19, 2015. The Financial Industry Regulatory Authority (“FINRA”) has suspended Ward in all capacities from associating with FINRA broker-dealers, and fined him $7,500.00 according to a Letter of Acceptance, […]

Morgan Stanley Broker Fined And Suspended For Settling Away Morgan Stanley Broker Fined And Suspended For Settling Away Lewis Howard Robinson (CRD #1630516, Aventura, Florida) has been a registered representative of Morgan Stanley between December 2, 2009 and October 9, 2015. Robinson consented to being suspended by Financial Industry Regulatory Authority (“FINRA”) and paying a […]

FINRA Suspends Securities Services Rep For Private Securities Transactions Peter D. Holler (CRD #838897, Bristol, Tennessee) who was a registered representative of Securities Services Network, Inc., consented to being fined $10,000 and suspended until May 20, 2020 from acting as a broker or associating with FINRA member broker-dealer firms pursuant to a Letter of Acceptance, […]

MetLife’s Kelly Barnett Sanctioned For Trading Without Authorization Kelly Marvin Barnett (CRD #4127608, Sarasota, Florida), who was a registered representative of MSI Financial Services from August 27, 2012 until being discharged on November 19, 2015, has consented to paying a $15,000.00 fine and being suspended by the Financial Industry Regulatory Authority (“FINRA”) from acting as a […]

FINRA Fines J.W. Cole Broker For Borrowing From Customer Michael T. Swingle (CRD #723350, Clearwater, Florida), who was a registered representative of J.W. Cole Financial, Inc. between August 29, 2007 and November 3, 2016, consented to paying a $5,000 fine and being suspended by the Financial Industry Regulatory Authority (“FINRA”) from acting as a broker […]

FINRA Fines Laidlaw & Company Ltd. Laidlaw & Company Ltd. (CRD #119037, New York, New York) is a broker-dealer registered with the Financial Industry Regulatory Authority (“FINRA”) that submitted a Letter of Acceptance, Waiver and Consent, resulting in FINRA imposing a censure and $25,000.00 fine to resolve allegations that Laidlaw failed to supervise its registered […]

Soreide Law Group obtained the following information on FINRA’s website from the May 2018 Disciplinary Report.  Frank Bazan (CRD #5593113, Houston, Texas) was assessed a deferred fine of $20,000 and suspended from association with any FINRA member in all capacities for seven months for allegedly failing to disclose to his member firm that he was […]

Soreide Law Group, based in South Florida, obtained the following information from FINRA’s May 2018 Disciplinary Report.  Ricardo Alfredo Estrada (CRD #4130208, Coral Gables, Florida) was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in all capacities for two months following allegations that he engaged in an outside business […]

The Forida-based Soreide Law Group obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions, May 2018.”  Michael Douglas Hanke (Mike Hanke) (CRD #3158013, Tampa, Florida) was assessed a deferred fine of $10,000 and suspended from association with any FINRA member in all capacities for one month for allegations that he executed […]