The 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, July, 2014.”
Ann Maria Ferrao (CRD #4481123, Miami, Florida)
was barred by FINRA for refusing to appear before FINRA and testify in an investigation into allegations that she misappropriated funds from her clients’ bank accounts. This was allegedly done for her personal benefit and the benefit of other clients.
FINRA's findings stated that Ann Ferrao told FINRA through her attorney that she would not appear to
testify.
(FINRA Case #2014040438401)
Ann Maria Ferrao was previously registered with the following securities firm(s):
HSBC SECURITIES (USA) INC. (CRD# 19585) - MIAMI, FL
07/2005 - 03/2014
ABN AMRO FINANCIAL SERVICES, INC. (CRD# 20373) - CHICAGO, IL
11/2001 - 05/2004
The summary of information on FINRA's website ends here.
If you have experienced financial losses due to the recommendation of your broker/financial advisor call Fort Lauderdale based Soreide Law Group for a free consultation with an attorney at: (888) 760-6552.
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 […]
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