Soreide Law Group, based in South Florida, recently obtained the following information from FINRA’s website listed under, “Disciplinary and Other FINRA Actions, November, 2016.”
DOUGLAS W. STUDER (CRD# 4440047 Ft. Lauderdale, Florida)
Alternate Names: DOUG STUDER
was recently barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Douglas W. Studer consented to the sanction and to the entry of findings that he refused to appear for FINRA on-the-record testimony in relation to an investigation into whether he had violated his former member firm’s policy by being named in an elderly client’s estate documents to inherit the client’s waterfront condominium.
(FINRA Case #2015047609101)
DOUGLAS W. STUDER , according to FINRA’s BrokerCheck was registered in the securities industry for 14 years. FINRA has permanently barred DOUGLAS W. STUDER from acting as a broker or otherwise associating with firms that sell securities to the public. The most recent firms he was associated with are listed below:
10/2015 - 07/2016 KOVACK SECURITIES INC. - Fort Lauderdale, FL
11/2013 - 11/2015 NATIONAL SECURITIES CORPORATION - AVENTURA, FL
03/2009 - 11/2013 PRIME CAPITAL SERVICES, INC. - TAMPA, FL
If you or a loved one were a former client of DOUGLAS W. STUDER, formerly with Kovack Securities in Ft. Lauderdale, or National Securities Corporation in Aventura, Florida, and experienced losses due to his actions or recommendations, contact the Soreide Law Group, conveniently located in Pompano Beach, Florida, for a consultation with a lawyer at no-cost regarding the possibility of recovering your losses at: 888-760-6552.
Soreide Law Group represents our clients nationwide before FINRA and we operate on a contingency basis.
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: GREAT POINT CAPITAL, LLC, (GREAT POINT) and their former registered representative, SUSAN JANE GITT (SUSAN J GITT, SUSAN JANE SCHULTZ) (Respondents). The Claimants are retired and live in Florida. The lawsuit states that the Claimants were looking for conservative income-generating […]
Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: TEXAKOMA FINANCIAL, INC. and their registered representative, SHEA PETER KENNEDY (SHEA P KENNEDY) (Repondents). The Claimant resides in Nevada, and according to the lawsuit, around August of 2023, SHEA P KENNEDY contacted the Claimant unsolicited, apparently after the Claimant had […]
Pending customer claims on BrokerCheck name Michael Graham (CRD 3263494) and list LPL Financial as the firm. Each claim is pending and unproven, and no arbitrator has ruled on any of them. The customers allege that Graham misrepresented guaranteed principal and returns on a secured loan related to a real estate deal.
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