Soreide Law Group, (888) 760-6552, obtained the following summation of information from FINRA’s website, in “Disciplinary and Other FINRA Actions, May, 2014.” Wei-Sheng Wang (CRD #2253377, Warren, New Jersey) was barred by FINRA allegedly because he and his wife, who is non-registered, accepted over $130,000 from clients of Wang's firm’s affiliate insurance company for life […]

The following summation of information is from FINRA’s website under “Disciplinary and Other FINRA Actions, May, 2014.” Call Soreide Law Group at (888) 760-6552. Jeremy Gerald Tintle (CRD #2817173, Hawley, Pennsylvania) was barred by FINRA for allegedly participating in private securities transactions without providing his firm with prior written notice of the proposed transactions. Tintle […]

PATRICIA S. MILLER (CRD# 2302464) formerly registered representative with Investors Capital in McMurry, Pennsylvania, a branch of Massachusetts-based Investors Capital Corporation, was arrested and charged with wire fraud. Several of her clients claim she allegedly misappropriated their investments worth hundreds of thousands of dollars. According to the court records, Miller attempted suicide and was slumped […]

This summation of information was found on FINRA’s website under “Disciplinary and Other FINRA Actions, May, 2014.” Soreide Law Group (888) 760-6552. Bernardita Cortez Roque (CRD #3116405, Virginia Beach, Virginia) was barred by FINRA for allegedly referring clients to a private investment company that offered private placement investments. This was done allegedly without her firm’s […]

The Fort Lauderdale, Florida based Soreide Law Group, phone (888) 760-6552, has obtained the following summation of information from FINRA’s website, under “Disciplinary and Other FINRA Actions, May, 2014.” Matthew John Ortman (CRD #2734101, Jacksonville, Florida) was barred by FINRA. There was a FINRA investigation concerning the alleged falsification of records by Matthew Ortman and […]

Fort Lauderdale-based Soreide Law Group, phone (888) 760-6552, obtained the following summation of information from FINRA’s website, under “Disciplinary and Other FINRA Actions, May, 2014.” Khoi Danh Nguyen (CRD #4640647, Jacksonville, Florida) was barred By FINRA for allegedly conducting improper credit inquiries and falsifying automobile applications to an affiliated insurance company and corresponding consolidated insurance […]

Soreide Law Group, (888) 760-6552, recently obtained the following summation of information from FINRA’s website, listed in “Disciplinary and Other FINRA Actions, May, 2014.” Timothy Damien Moran (CRD #2326078, Paradise Valley, Arizona) was barred by FINRA and ordered to disgorge $200,000 of ill-gotten gains. According to the FINRA report, Timothy Moran allegedly engaged in private […]

The following summation of information was found on FINRA’s website under “Disciplinary and Other FINRA Actions, May, 2014.” Call Soreide Law Group, a Securities Arbitration Law Firm at (888) 760-6552. Monte Kim Miron (CRD #853546, Broken Arrow, Oklahoma) was barred by FINRA for allegedly making unauthorized trades in the accounts of his firm’s clients. FINRA's […]

The Fort Lauderdale-based Soreide Law Group, phone (888) 760-6552, obtained the following summation of information from FINRA’s website, under “Disciplinary and Other FINRA Actions, May, 2014.” Jon Fred Larson (CRD #861915, Lakeland, Florida) was assessed a deferred fine of $5,000 and suspended by FINRA for 10 business days. According to FINRA's findings, allegedly Larson entered […]