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.
Financial Industry Regulatory Authority sanctioned securities broker Arthur Craigg McRae [CRD: 4697209, Williamsville, New York], given the public information found on BrokerCheck. McRae worked for Wells Fargo Advisors Financial Network LLC from August 1, 2014, to October 3, 2024. Investors are encouraged to continue reading to discover more about McRae’s disclosures. FINRA Suspended And Fined […]
Financial Industry Regulatory Authority (FINRA) sanctioned securities broker Michael Stephen Schoolcraft [CRD: 6375300, Lisle, Illinois], based on public information on BrokerCheck. Schoolcraft worked for MML Investors Services LLC from May 17, 2016, to May 1, 2026. Read on to find out more about Schoolcraft’s disclosures. MML Terminated Michael Schoolcraft Over Personal Loans MML Investors Services […]
Securities broker Patrick Michael Carroll [CRD: 2676119, Cadillac, Michigan] has disclosures including a regulatory action and investor complaint, according to Financial Industry Regulatory Authority (FINRA) BrokerCheck records. Carroll joined Centaurus Financial Inc. as a securities broker on September 20, 2006, and as a financial advisor representative on June 24, 2010. The disclosures described below include […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com