The Pompano Beach, Florida-based law firm, Soreide Law Group, obtained the following information from FINRA’s May 2018 Disciplinary Report on the following broker, who is registered in Florida:
Christine Alexandria Murphy (CRD #1510853, Delray Beach, Florida)
Murphy was fined $5,000, suspended from association with any FINRA member in all capacities for one month and required to attend and satisfactory complete 10 hours of continuing education following allegations that without authorization from her member firm, she gained access to its Central Registration Depository (CRD) account using her own user identification and amended its Form U5 filing regarding her termination from the firm.
FINRA’s findings stated that the firm had denied Murphy’s request that it amend the language in its filing. Among other things, Murphy changed the reason for her termination from “permitted to resign” to “voluntary” and changed the termination explanation. Although the new termination explanation entered by Murphy was not false, the firm had not approved it or otherwise authorized her to access the firm’s CRD account.
The suspension was in effect from April 2, 2018, through May 1, 2018.
(FINRA Case #2017055369201)
According to FINRA’s BrokerCheck, available to the public on FINRA's website, Christine Alexandria Murphy has worked in the securities industry for 22 years and was listed with 31 firms.
The most recent firms are listed below:
12/18/2012 - 04/02/2018 INNOVATION PARTNERS LLC - CHARLOTTE, NC
07/08/2015 - 09/29/2017 THORNHILL SECURITIES INC - AUSTIN, TX
05/23/2016 - 08/23/2017 NOBLE CAPITAL MARKETS INC - BOCA RATON, FL
03/17/2015 - 08/18/2017 I-BANKERS DIRECT LLC - DELRAY BEACH, FL
01/16/2015 - 08/18/2017 I-BANKERS SECURITIES INC - DELRAY BEACH, FL
05/02/2013 - 10/04/2016 NCG SECURITIES LLC - DELRAY BEACH, FL
03/04/2014 - 06/10/2014 AVIOR CAPITAL LLC – DELRAY BEACH, FL
FINRA expelled the firm on 07/29/2016
11/30/2011 - 04/22/2014 NORTHEASTERN FINANCIAL GROUP, INC - DELRAY BEACH, FL
10/14/2013 - 01/31/2014 COASTAL EQUITIES INC - WILMINGTON, DE
02/06/2012 - 09/16/2013 TONTINE INVESTMENT GROUP LLC - SELDEN, NY
12/06/2011 - 01/03/2012 PLAN PROFESSIONALS LIMITED - ROSEVILLE, CA
12/03/2009 - 11/30/2011 OLYMPUS SECURITIES LLC - MONTVILLE, NJ
03/08/2011 - 03/18/2011 SUMMIT BROKERAGE SERVICES INC - BOCA RATON, FL
If you’ve suffered investment losses due to the recommendations or actions of broker, Christine Alexandria Murphy, who was employed at 31 firms in the past 22 years, contact Soreide Law Group, based in South Florid and speak to an experienced securities lawyer regarding the possible recovery of your financial losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group represents our clients nationwide before FINRA and we operate on a contingency fee basis.
A customer arbitration over investments bought in 2014 appears on Randall Mason's BrokerCheck report, and it ended in an award. Mason (CRD 1758777) denied the customer's unsuitability allegations in a statement on BrokerCheck. A second customer raised similar allegations in an earlier claim, which settled. Both disputes name Parkland Securities as the firm.
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