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.
Contact Soreide Law Group for a Free Review of Your Potential Investment Loss Claim If your financial advisor recommended Creative Media & Community Trust (NASDAQ: CMCT) and you suffered substantial losses, you may have legal rights. A CMCT investment loss attorney can help you understand your options and pursue recovery. Many investors purchased CMCT believing […]
Soreide Law Group is investigating potential investor claims involving Cambridge Investment Research following a FINRA disciplinary action concerning Unit Investment Trust (UIT) recommendations. In April 2026, FINRA censured Cambridge Investment Research after finding supervisory deficiencies involving certain UIT recommendations made to retail clients. Investors who incurred excessive fees, unnecessary costs, or other damages associated with […]
Soreide Law Group is investigating potential investor claims involving Infinity Financial Services after FINRA sanctioned the firm for supervisory failures involving deferred variable annuity exchanges and recommendations. Investors who incurred surrender charges or other losses in connection with variable annuity transactions recommended through Infinity should review the allegations that led to FINRA's disciplinary action against […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com