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.
Investors potentially experienced sales practice violations by securities broker Matthew R. Carbray [CRD: 4565811, Northampton, Massachusetts], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Carbray has worked for Kestra Investment Services LLC since July 21, 2006, and Kestra Advisory Services LLC since April 19, 2016. Continue reading to learn more about Carbray’s […]
Investors apparently complained about securities broker Juan Pablo Benavides [CRD: 4288007, Miami, Florida], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Benavides has worked for Merrill Lynch as a securities broker since November 22, 2000, and as a financial advisor since March 15, 2004. See below to find out more about […]
Investors potentially incurred losses because of securities broker Sandy Meyer Leff [CRD: 1796695, Atlanta, Georgia], according to information disclosed through Financial Industry Regulatory Authority (FINRA) BrokerCheck. Leff has worked for Carter Terry Company Inc. as a securities broker since October 6, 2016, and as a financial advisor since October 21, 2016. Keep reading to discover […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com