The Ft. Lauderdale, Florida-based Soreide Law Group, obtained the following summation of information from FINRA's Website under "Disciplinary and Other Actions, December 2014."
Derek Brice Radzikowski (CRD #2707808, Highland Beach, Florida)
was assessed a deferred fine of $18,000 and suspended by FINRA for two years for allegedly engaging in outside business activities where he conducted a mortgage relief business through multiple business entities and received compensation without providing written notice to his member firms.
Derek Radzikowski has been registered in the securities industry for 16 years.
Radzikowski's suspension is in effect from October 20, 2014, through October 19, 2016.
(FINRA Case #2012034808901)
Derek Radzikowski was previously registered with the following securities firm(s):
Registered Dates Firm
07/2012 - 11/2012 NATIONAL SECURITIES CORPORATION (CRD# 7569) - FORT LAUDERDALE, FL
09/2009 - 06/2012 BROOKSTONE SECURITIES, INC. (CRD# 13366) - FORT LAUDERDALE, FL
FINRA expelled the firm in 10/2012
04/2002 - 10/2009 GUNNALLEN FINANCIAL, INC (CRD# 17609) - FT. LAUDERDALE, FL
01/2002 - 05/2002 FIRST MONTAUK SECURITIES CORP. (CRD# 13755) - RED BANK, NJ
08/1997 - 12/2001 FIRST UNION SECURITIES FINANCIAL NETWORK, INC. (CRD# 11025) - ST. LOUIS, MO
02/1997 - 08/1997 VTR CAPITAL, INC. (CRD# 21404) - NEW YORK, NY
FINRA expelled the firm in 12/2001
11/1996 - 02/1997 SOVEREIGN EQUITY MANAGEMENT CORP. (CRD# 20016) - DEERFIELD BEACH, FL
04/1996 - 11/1996 BILTMORE SECURITIES, INC (CRD# 25023) - FT. LAUDERDALE, FL
FINRA expelled the firm in 03/1999
FINRA's info ends here.
Soreide Law Group, (888) 760-6552, located in Ft. Lauderdale, Florida, will represent clients nationwide before FINRA. Call for a free consultation with an attorney on how to potentially recover your losses.
One or more investors possibly experienced losses because of securities broker Calvin James Heck [CRD: 1025767, Everett, Washington], based on public information found on FINRA BrokerCheck. Evidently, Heck has worked for Wedbush Securities Inc. in Los Angeles, California, since June 27, 2003, and in its Everett, Washington, office since June 11, 2020. Read on to […]
Investors potentially experienced sales practice violations due to securities broker Gregory John Libby [CRD: 2455485, Paramus, New Jersey], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Libby has been employed with Morgan Stanley at its Paramus, New Jersey branch since June 1, 2009, and continues to be registered with the […]
Investors apparently complained about securities broker Prakash Verma (also known as Mike Panjabi, Ramprakash Panjabi, and Mike Verma) [CRD: 4760483, Leander, Texas], based on disclosures found on FINRA BrokerCheck. Evidently, Verma worked for NYLIFE Securities LLC (CRD#: 5167) from November 17, 2004, to June 2, 2025. Read on to find out more about the disclosures […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com