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. Wan Soo Kim (CRD #5986534, Los Angeles, California) was assessed a deferred fine of $7,500 and suspended by FINRA for nine months. Allegedly, Kim signed […]

Soreide Law Group, (888) 760-6552, obtained the following summation of information from FINRA’s website, under “Disciplinary and Other FINRA Actions, May, 2014.” Darinn Dwight Kim (CRD #4029402, Rolling Meadows, Illinois) was barred by FINRA for allegedly transferring a client's funds, selling the client’s securities, and ordering a $190,000 check drawn on the client’s securities account […]

This summation of information is available on FINRA's website under “Disciplinary and Other FINRA Actions, May, 2014.” Steven Foreman Kahn (CRD #1001362, Buffalo Grove, Illinois) was fined $10,000 and suspended by FINRA for 20 business days. Allegedly, Kahn effected transactions in a cclient’s account without first obtaining the client’s authorization. FINRA's findings stated that the […]

Soreide Law Group, PLLC, phone (888) 760-6552, has obtained the following summation of information from FINRA’s website, under “Disciplinary and Other FINRA Actions, May, 2014.” James Daniel Helgeson (CRD #1016562, Billings, Montana) was given a deferred fine of $5,000 and suspended by FINRA for one month. According to FINRA's report, allegedly Helgeson did not provide […]

The Soreide Law Group, (888) 760-6552, has obtained the following summation from FINRA’s website, under “Disciplinary and Other FINRA Actions, May, 2014.” Nicholas Adam Hill (CRD #5992761, Parkville, Maryland) was barred by FINRA for allegedly withdrawing $8,000 from his customer bank accounts without the customers’ authorization. According to FINRA's findings, allegedly Nicholas Hill used the […]

The following information was listed on FINRA's website under “Disciplinary and Other FINRA Actions, May, 2014.” William Robert Hartnett (CRD #3159092, Weymouth, Massachusetts) was barred by FINRA. According to the FINRA report, Hartnett was appointed sole guardian of minor children and the trustee of their savings accounts. Harnett also controlled their checking accounts. According to […]

Soreide Law Group is currently investigating possible claims against JOHN M. BABIARZ (CRD# 3047247), a 40 year-old investment advisor from Peabody, MA, formerly employed with Bishop, Rosen & Co. of Newton, MA. Babiarz has pleaded guilty in US District Court to wire fraud and aggravated identity theft. He allegedly defrauded several clients out of their […]

Soreide Law Group, (888) 760-6552, obtained the following summation from FINRA’s website, listed under “Disciplinary and Other FINRA Actions, May, 2014.” Daniel Howard Glick (CRD #2175655, Chicago, Illinois) was barred by FINRA because allegedly during FINRA's investigation, FINRA had requested documents and information concerning findings by the Certified Financial Planner Board of Standards. This was […]

RALPH H. LORD (CRD# 312708), a stock broker and former investment advisor from Flowood, Mississippi, was fined by the Mississippi Secretary of State for allegedly advising a now-deceased Greenville, Mississippi woman to buy into a risky company. The investigation revealed that in 2003 - 2004, Lord allegedly sold a 90 year-old woman, $230,000 in debt […]