Soreide Law Group, based in Pompano Beach, Florida (888) 760-6552, obtained the following summation of information from FINRA’s website, under “Disciplinary and Other FINRA Actions, April 2015.”
Wendy Ann Wurst (CRD #1902879, Atlantis, Florida) AKA/ WENDY ANN MINERD, WENDY A MINERO, WENDY ANN MINERO
was assessed a deferred fine of $50,000, suspended by FINRA for three months, and suspended in any principal capacity for six months for allegedly failing to reasonably supervise her firm’s registered representative’s involvement with three outside businesses that operated as unregistered broker-dealers. As the CCO and registered principal responsible for overseeing the registered representative’s activities, Wendy Wurst failed to reasonably supervise him by permitting him to effectuate securities transactions for compensation away from the firm through entities that were not registered as broker-dealers.
The findings stated that Wurst made misleading and inaccurate statements concerning the unregistered broker-dealers to corporate bond dealers in connection with the opening of certain delivery-versus-payment brokerage accounts for the unregistered broker-dealers.
The suspension in any capacity is in effect from March 2, 2015, through June 1, 2015. The suspension in any principal capacity is in effect from March 2, 2015, through September 1, 2015.
(FINRA Case #2012033514202)
Wendy Wurst has been registered with the following firm since 2013:
HENNION & WALSH, INC. (CRD# 25766)
105E ATLANTIC AVENUE, SUITE 200, DELRAY BEACH, FL 33444
Wendy Wurst was previously registered with the following firms:
11/2003 - 05/2014 PMK SECURITIES & RESEARCH, INC. (CRD# 40145) - DELRAY BEACH, FL
08/2003 - 11/2003 STANFORD GROUP COMPANY (CRD# 39285) - HOUSTON, TX
06/2002 - 08/2003 STERLING FINANCIAL INVESTMENT GROUP, INC. (CRD# 41506) - BOCA RATON, FL
FINRA expelled the firm in 01/2008
03/2000 - 07/2002 PMK SECURITIES & RESEARCH, INC. (CRD# 40145) - DELRAY BEACH, FL
05/1994 - 03/2000 DMG SECURITIES, INC. (CRD# 15480) - GREAT FALLS, VA
07/1998 - 03/2000 JWGENESIS SECURITIES, INC. (CRD# 33832) - BOCA RATON, FL
01/1994 - 03/2000 JWGENESIS FINANCIAL SERVICES, INC. (CRD# 11025) - ST. LOUIS, MO
02/1999 - 03/2000 JWGENESIS FINANCIAL GROUP, INC (CRD# 38166) - BOCA RATON, FL
04/1995 - 12/1998 GSG SECURITIES, INC. (CRD# 38166) - BOCA RATON, FL
03/1995 - 03/1995 STOWE INVESTMENT COMPANY (CRD# 8528) - WINTER HAVEN, FL
This summation from FINRA's website ends here.
Call the Florida-based Soreide Law Group for a free consultation on how to potentially recover your investment losses: 888-760-6552.
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