The Fort Lauderdale-based, Soreide Law Group, obtained the following summary of information from FINRA’s website under “Disciplinary and Other FINRA Actions, October, 2014.” Ane S. Plate (CRD #1977401, Deland, Florida) was barred by FINRA for an alleged 15 unauthorized trades in a client’s firm account, resulting in the cash proceeds of $176,080. FINRA's findings stated […]

Fort Lauderdale-based Soreide Law Group recently obtained this summary of information from FINRA’s website under “Disciplinary and Other FINRA Actions, October, 2014.” Richard Happle (CRD #1095540, St. Petersburg, Florida) was assessed a deferred fine of $5,000 and suspended by for 10 business days. Allegedly, Happle failed to execute a client's trade order. FINRA's findings stated […]

The Soreide Law Group, based in Fort Lauderdale (888) 760-6552, obtained the following summary of information from FINRA’s website, under “Disciplinary and Other FINRA Actions, October, 2014.” Arhonda T’Lene Guinn (CRD #4401132, Vero Beach, Florida) was barred by FINRA for allegedly converting $12,100 from a client’s account at her firm for her own use. FINRA's […]

The Fort Lauderdale-based Soreide Law Group, (888) 760-6552, recently obtained the summary of information from FINRA’s website, under “Disciplinary and Other FINRA Actions, October, 2014.” Daniel Timothy Cowperthwaite (CRD #1398178, Pinecrest, Florida) was assessed a deferred fine of $5,000 and suspended for three months by FINRA for allegedly received two loans improperly for approx. $4,300 […]

BRUCE MEYERS (CRD# 1045447), owner and CEO of Meyers Associates, New York, was sued by the Financial Industry Regulatory Authority Inc. (FINRA) for alleged improper marketing of an unregistered securities offering of a pharmaceutical company. Meyers and another firm exec were the majority owners of the company, SignPath Pharma Inc. According to FINRA, Meyers Associates, […]

In an October 15, 2014, article from the South Florida Business Journal, Brian Bandell lists the following four FINRA actions taken recently: 1. Andrew S. Taubman of Weston, FL, formerly with NFP Securities from 2005 to 2010 and now a principal at Fort Lauderdale accounting firm Kaufman, Rossin & Co., was fined $10,000 and suspended […]

John J. Katsock, Sr., 74, a financial advisor and accountant from Yardley, Pennsylvania, has been accused of stealing over $200,000 from a client’s trust. His business, J. J. Katsock & Company, is in Fairless Hills, Pennsylvania. Katsock was charged with second degree theft, second degree deception and second degree misapplication of entrusted property. His bail […]

Fort Lauderdale-based Soreide Law Group, (888) 760-6552, obtained the following summary of information from FINRA’s website, under “Disciplinary and Other FINRA Actions, September, 2014.” Edward James Wendol (CRD #2392007, Spring Hill, Florida) was barred by FINRA for alleged failure to comply with FINRA’s request for documents and information, and failure to appear and provide testimony. […]

Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552, obtained the following summation of information on FINRA’s website under “Disciplinary and Other FINRA Actions, September, 2014.” Morgan Stanley Smith Barney LLC (CRD #149777, Purchase, New York) was censured, fined $1,000,000, and required to conduct a review of their systems and written procedures which are […]