The Fort Lauderdale-based, Soreide Law Group, obtained the following summary of information from FINRA’s website under “Disciplinary and Other FINRA Actions, October, 2014.”
Ane S. Plate (CRD #1977401, Deland, Florida)
was barred by FINRA for an alleged 15 unauthorized trades in a client’s firm account, resulting in the cash proceeds of $176,080.
FINRA's findings stated that allegedly Plate transferred the $176,000 in cash to the client’s bank account. Plate then made out 15 checks payable to herself and deposited the 15 checks into her own bank account, totaling $132,358, for her personal use.
FINRA's report also states that allegedly Plate arranged for bi-weekly transfers from her client’s firm account to another bank account belonging to one of her relatives in which Plate transferred $7,700.
(FINRA Case #2014041705101)
Ane S. Plate was previously registered with the following securities firm(s):
05/2005 - 06/2014 WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD# 11025) - ORLANDO, FL
07/2003 - 05/2005 WACHOVIA SECURITIES, LLC (CRD# 19616) - ST. LOUIS, MO
07/2001 - 07/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD# 7471) - NEW YORK, NY
03/1999 - 07/2001 MORGAN STANLEY DW INC. (CRD# 7556) - PURCHASE, NY
This ends the summary of information from FINRA's website.
If you have become a victim of securities fraud or unauthorized trading, please contact Fort Lauderdale-based Soreide Law Group for a free consultation with an attorney at 888-760-6552.
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