Soreide Law Group, (888) 760-6552, obtained this summation of information from FINRA’s website under “Disciplinary and Other FINRA Actions, February, 2014.”
Charles William Apodaca (CRD #1604427, Registered Principal, Eagle, Idaho)
has been barred by FINRA after consenting to the sanction that he effected the purchases of securities in customers' accounts without receiving the authorization by the customers. Charles Apodaca did not have discretionary authority over these customer accounts.
FINRA's findings also reported that Apodoca was requested to appear before FINRA regarding this investigation of unauthorized trading, and provide testimony, but Apodoca failed to appear. Charles Apodaca telephoned FINRA to inform them that he would not provide the testimony FINRA had requested.
(FINRA Case #2012032562801)
According to FINRA's BrokerCheck, Charles Apodaca was previously registered with the following FINRA firm(s):
CAPITAL FINANCIAL SERVICES, INC. (CRD# 8408) - EAGLE, ID
03/2007 - 05/2012
UNITED HERITAGE FINANCIAL SERVICES, INC. (CRD# 35316) - EAGLE, ID
07/2004 - 03/2007
AXA ADVISORS, LLC (CRD# 6627) - NEW YORK, NY
12/1999 - 07/2004
KMS FINANCIAL SERVICES, INC. (CRD# 3866) - SEATTLE, WA
04/1995 - 11/1999
WMA SECURITIES, INC. (CRD# 32625) - DULUTH, GA
05/1994 - 06/1995
PRINCOR FINANCIAL SERVICES CORPORATION (CRD# 1137) - DES MOINES, IA
04/1991 - 04/1992
EQUICO SECURITIES, INC. (CRD# 6627) - NEW YORK, NY
04/1987 - 04/1991
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (CRD# 4039) - NEW YORK, NY
01/1987 - 04/1991
This ends the summation of current information available on FINRA's website.
Soreide Law Group will represent clients nationwide in arbitrations before FINRA. Please call for a free consultation on how to potentially recover your financial investment losses: 888-760-6552.
Soreide Law Group has filed a FINRA arbitration on behalf of our client (Claimant) against: TEXAKOMA FINANCIAL, INC. and their registered representative, SHEA PETER KENNEDY (SHEA P KENNEDY) (Repondents). The Claimant resides in Nevada, and according to the lawsuit, around August of 2023, SHEA P KENNEDY contacted the Claimant unsolicited, apparently after the Claimant had […]
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An SEC decision involving Titan Securities (CRD 131392) of Plano, Texas became final on August 7, 2026, according to FINRA's October 2026 Disciplinary and Other FINRA Actions report. The decision fined the firm $50,000. The record lists the firm as JTA Securities Management, Inc. dba Titan Securities.
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