The Soreide Law Group, PLLC, a Securities Arbitration Law Firm, (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, April, 2013.” Roman Jerzy Sledziejowski (CRD #3141438, Registered Principal, Ossining, New York) was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations, Sledziejowski […]

Soreide Law Group, PLLC, a Securities Arbitration Law Firm, (888) 760-6552, found the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, April, 2013.” Forrest Nolan Jackson (CRD #4222253, Registered Representative, Austin, Texas) was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations, Jackson consented to […]

Soreide Law Group, PLLC, a Securities Arbitration Law Firm, (888) 760-6552, found the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, April, 2013.” John Michael Babiarz (CRD #3047247, Registered Principal, Peabody, Massachusetts) was fined a total of $20,000 and suspended from association with any FINRA member in any capacity for a total […]

The Soreide Law Group, PLLC, a Securities Arbitration Law Firm, (888) 760-6552, found the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, April, 2013.” Arthur Apostol (CRD #2265647, Registered Representative, Ashford, Connecticut) was fined $5,000 and suspended from association with any FINRA member in any capacity for three months. Without admitting or […]

An arbitration panel of the Financial Industry Regulatory Authority (FINRA) has ruled in favor of the investor in an arbitration case against Wells Fargo Advisors LLC, and E*Trade Securities LLC. The FINRA arbitration panel found Wells Fargo Advisors liable to the investor for $50,253 in compensatory damages, and E*Trade Securities liable for an additional $33,502 […]

The Financial Industry Regulatory Authority (FINRA) announced in December, 2012, that Pruco Securities, LLC, a New Jersey based registered broker-dealer, was ordered to pay nearly $11 million in restitution and $550,000 in fines for failing to process written mutual fund orders received by mail or fax, to have in place an adequate supervisory system designed […]

U.S. District Judge Kiyo Matsumoto's dismissal of a class action lawsuit against David Lerner Associates Inc. earlier this week was a major victory for the Long Island-based financial adviser writes Andrew Osterland in an April 5th., 2013, article for InvestmentNews.com. “Plaintiffs' belabored Complaint appears only to confirm that the Apple REITs are currently functioning in […]

Soreide Law Group, PLLC, a Securities Arbitration Law Firm, (888) 760-6552, located in Ft. Lauderdale, Florida, which is in Broward County, recently ran across an article from the Sun-Sentinel newspaper written by Donna Gehrke-White, regarding former professional football player Johnny Rutledge. The article states that Rutledge remembers seeing the first hint of trouble several years […]

Lamoreaux v. MML Investors, FINRA ID # 10-04047 (Los Angeles, CA, 3/27/2013) - A Los Angeles Financial Industry Regulatory Authority ("FINRA") arbitration panel has entered an award against MML Investors Services, LLC ("MML") in favor of its customer, Ms. Lamoreaux. The Panel awarded $1,120,000 in compensatory damages to Ms. Lamoreaux, who invested in an unregistered […]