Fort Lauderdale-based Soreide Law Group, (888) 760-6552, obtained the following summary of information from FINRA’s website, under “Disciplinary and Other FINRA Actions, September, 2014.”
Edward James Wendol (CRD #2392007, Spring Hill, Florida)
was barred by FINRA for alleged failure to comply with FINRA’s request for documents and information, and failure to appear and provide testimony.
FINRA's findings stated that Wendol was involved in an investigation into undisclosed outside business and undisclosed private securities transactions from which FINRA had requested documents and information. Wendol refused to appear before FINRA or provide information.
(FINRA Case #2013038557301)
Edward James Wendol was previously registered with the following securities firm(s):
Registered Dates Firm
09/2013 - 07/2014 WTS PROPRIETARY TRADING GROUP LLC (CRD# 148117) - NEW YORK, NY
12/2011 - 08/2012 STERLING ENTERPRISES GROUP, INC. (CRD# 44915) - ST. PETERSBURG, FL
11/2008 - 10/2009 AMERICAN CLASSIC SECURITIES, INC. (CRD# 25399) - PONTE VEDRA, FL
06/2005 - 11/2006 PEAK SECURITIES CORPORATION (CRD# 107907) - LARGO, FL
11/2003 - 12/2003 BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. (CRD# 13609) - MARION, IA
06/2002 - 04/2003 QUICK & REILLY, INC. (CRD# 11217) - NEW YORK, NY
04/2001 - 06/2002 J.P.R. CAPITAL CORP. (CRD# 38056) - SYOSSET, NY
FINRA expelled the firm in 08/2007
10/1995 - 04/2001 GBI CAPITAL PARTNERS INC. (CRD# 14623) - BETHPAGE, NY
10/1993 - 10/1995 LEW LIEBERBAUM & CO., INC. (CRD# 17341) - GARDEN CITY, NY
09/1993 - 10/1993 SOUTH RICHMOND SECURITIES, INC. (CRD# 14913)
FINRA's website summary ends here.
Call Ft. Lauderdale-based Soreide Law Group for your free consultation on how to potentially recover your investment losses at 888-760-6552.
Investors potentially experienced sales practice violations by securities broker James Ward Margraf (also known as Jim Margraf) [CRD: 6517554, Springfield, Missouri], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. James Margraf worked for Center Street Securities Inc. from August 22, 2016, to December 1, 2023. See the following information to discover more about […]
Investors might have suffered losses due to securities broker Michael Joseph Kelley [CRD: 1021878, Winter Park, Florida], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kelley worked for LPL Financial LLC from September 8, 2009, to the present and Charter Advisory Corporation from September 30, 1999, to the present. See […]
Investors potentially incurred losses because of securities broker Eric Lee Diamond (also known as Rick Diamond) [CRD: 1602991, Wellington, Florida], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Eric Diamond worked for Fidelity Brokerage Services LLC from January 10, 2007, to the present, and Strategic Advisers LLC from March 31, 2025, to […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com