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.
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