The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, March, 2013.” Jim Eugene Scala Jr. (CRD #2493873, Registered Representative, Palm Harbor, Florida) was fined $5,000 and suspended from association with any FINRA member in any capacity for 15 business days. FINRA gave Scala credit for serving a suspension imposed by his […]

Soreide Law Group, Securities Arbitration Law Firm (888) 760-6552, recently obtained this information from the FINRA website under “Disciplinary and Other FINRA Actions, March, 2013.” Alan Richard Joyce (CRD #1683601, Registered Principal, Jacksonville, Florida) was fined $7,500 and suspended from association with any FINRA member in any capacity for 60 business days. Without admitting or […]

The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, March, 2013.” George Robert Hunt (CRD #2568842, Registered Principal, Sarasota, Florida) was fined $10,000, suspended from association with any FINRA member in any capacity for one year and ordered to pay $63,500, plus interest, in restitution to a customer. Without admitting or […]

Soreide Law Group, Securities Arbitration Law Firm (888) 760-6552, recently obtained this information from the FINRA website under “Disciplinary and Other FINRA Actions, March, 2013.” Paul Grover Gomez (CRD #702551, Registered Representative, El Toro, California) was fined $75,000 and suspended from association with any FINRA member in any capacity for three months. Without admitting or […]

The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, March, 2013.” Paul Elvidge Jr. (CRD #1852650, Registered Principal, Port St. Lucie, Florida) was barred from association with any FINRA member in any capacity and ordered to pay $620,177.90, plus interest, in restitution to customers. Without admitting or denying the findings, Elvidge […]

Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552, found the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, March, 2013.” Joseph Kenneth Critelli (CRD #2707711, Registered Representative, Northport, New York) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Critelli consented to […]

The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, March, 2013.” William Howard Coons (CRD #2049465, Registered Supervisor, West Hartford, Connecticut) was fined $10,000 and suspended from association with any FINRA member in any capacity for 20 business days. Without admitting or denying the findings, Coons consented to the described sanctions […]

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, March, 2013.” Robert Keith Brooks aka Robert Keith Stuart (CRD #1571789, Registered Principal, Miami, Florida) was fined $7,500 and suspended from association with any FINRA member in any capacity for two […]

The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, March, 2013.” David Appel (CRD #1026798, Registered Representative, Brooklyn, New York) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Appel consented to the described sanction and to the entry of FINRA's findings that […]