The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, July, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552.
Adoris Sheldon Turner II (CRD #4804592, Registered Representative, Dallas, Texas)
was fined $10,000 and suspended from association with any FINRA member in any capacity for two years. Without admitting or denying the allegations, Turner consented to the described sanctions and to the entry of findings that he created and distributed documents that contained false and misleading statements purporting to authorize the issuance of an $18 million promissory note by his bank. The bank lacked any knowledge of Turner’s activities regarding the creation and distribution of the documents or the prospective transaction pursuant to which Turner created and distributed them. The bank did not authorize the issuance of the note or the documents. FINRA's findings also stated that Turner held himself out as a person authorized to negotiate and approve issuance of the promissory note, which was not true.
The suspension is in effect from May 20, 2013, through May 19, 2015. (FINRA Case #2010025029401)
Adoris S Turner was previously registered with FINRA at the following brokerage firms:
CHASE INVESTMENT SERVICES CORP.
CRD# 25574
RICHARDSON, TX
12/2008 - 11/2010
CHASE INVESTMENT SERVICES CORP.
CRD# 25574
CEDAR HILL, TX
07/2005 - 01/2007
BANC ONE SECURITIES CORPORATION
CRD# 16999
CHICAGO, IL
06/2004 - 07/2005
This ends the information obtained from FINRA’s website.
Soreide Law Group represents clients nationwide before FINRA. If you have sustained investment losses due to your stock broker/financial advisor’s recommendations, call for a free consultation with an attorney on how to potentially recover those losses: 888-760-6552.
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