The Fort Lauderdale-based, Soreide Law Group, (888) 760-6552, obtained this summation of the following information from FINRA’s website under “Disciplinary and Other FINRA Actions, April, 2014.”
Timothy Burke Ruggiero (CRD #2119642, Registered Principal, Plantation, Florida)
was barred by FINRA for allegedly engaging in intentional stock price manipulation. FINRA's findings stated that Ruggiero not only allegedly participated in the manipulative stock price scheme, but as the firm’s President and Chief Executive Officer (CEO), did not stop it, even though he was in the position to do so.
According to the FINRA report, Ruggiero allegedly traded in stock for two offerings during the restricted periods. Also, allegedly Ruggiero forged initials on the order tickets for supervisory evidence in the transactions. Ruggiero did not ensure that the firm had an effective system for electronic communications in place.
Also in the FINRA report, it alleges that Ruggiero failed to supervise the firm’s trading and electronic communications. Timothy Ruggiero failed to ensure that his firm had the proper system to retain the emails and prevent the use of outside, personal email accounts. (FINRA Case #2008011675301)
According to FINRA's BrokerCheck, Timothy Burke Ruggiero was previously registered with the following FINRA firm(s):
BROOKSHIRE SECURITIES CORPORATION (CRD# 44347) - FT. LAUDERDALE, FL
05/1998 - 03/2009
HAMPSHIRE SECURITIES CORPORATION (CRD# 19725) - NEW YORK, NY
09/1995 - 02/1997
JOSEPHTHAL LYON & ROSS INCORPORATED (CRD# 3227) - NEW YORK, NY
12/1993 - 10/1995
A.S. GOLDMEN & CO., INC. (CRD# 23180) - RED BANK, NJ
03/1993 - 01/1994
M.S. FARRELL & COMPANY, INC. (CRD# 24232) - SYOSSET, NY
03/1992 - 02/1993
PARAGON CAPITAL CORPORATION (CRD# 18555) - EAST HANOVER, NJ
FINRA expelled the firm in 02/2004 12/1991 - 03/1992
JOSEPHTHAL LYON & ROSS INCORPORATED (CRD# 3227) - NEW YORK, NY
07/1991 - 12/1991
D. H. BLAIR & CO., INC. (CRD# 6833) - NEW YORK, NY
05/1991 - 07/1991
This ends the summation of information from FINRA's website.
Soreide Law Group represents investors nationwide before FINRA. Call for a free consultation with an attorney at (954) 760-6552.
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