The following summation of information is available on FINRA's "Disciplinary and Other Actions, July, 2014."
James Kenneth Ard (CRD #5837571, Florence, South Carolina)
was barred by FINRA for allegedly misappropriating campaign funds from his campaign for Lieutenant Governor of South Carolina.
FINRA's findings stated that James Ard allegedly charged $12,000+ for his own personal expenses to the campaign and allegedly also used his position as Lieutenant Governor to develop new business relationships for his member firm.
According to the FINRA report, James K. Ard admitted to using campaign funds for personal use and was indicted by a grand jury. The grand jury charged Ard with several violations of the law of South Carolina, which included misusing campaign funds.
Ard pled guilty to unlawful personal use of campaign funds, seven other misdemeanor state ethics violations, and resigned as Lieutenant Governor of South Carolina.
(FINRA Case #2012031746301)
The summary of information on FINRA's website is ended.
If you have experienced financial losses due to the recommendation of your broker/financial advisor call Soreide Law Group for a free consultation with an attorney at: (888) 760-6552. We represent clients nationwide.
JOSEPH KELLY (JOE KELLY) has been registered as a broker with VCS VENTURE SECURITIES of New York, NY since 6/17/2026. He was previously registered with SPARTAN CAPITAL SECURITIES LLC of New York, NY from 01/13/2017 - 12/18/2024. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, JOSEPH KELLY has 21 years of experience […]
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CENTAURUS FINANCIAL, INC (Respondent). The Claimants reside in Arizona and are retired. The Claimants were seeking stable investments that would provide them with income. The lawsuit states that the Claimants have a long-standing relationship with CENTAURUS FINANCIAL and its Financial Advisor, […]
Soreide Law Group is investigating potential investor claims involving DCM US Multi-Family Homes PLC notes sold or recommended through Andbanc Brokerage LLC. They are also investigating sales or recommendations through Andbanc Advisory LLC. Additionally, they are reviewing sales or recommendations through BCI Securities, Inc., Boreal Capital Securities, LLC (also known as Mora Capital Securities), and […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com