Soreide Law Group, (888) 760-6552, obtained this summation of information from FINRA’s website, in “Disciplinary and Other FINRA Actions, January, 2015.”
Rick Dean Bianchi (CRD #2580219, Des Moines, Iowa)
was assessed a deferred fine of $5,000 and suspended by FINRA for three months for allegedly creating and providing to his firm a falsified document purporting to be from an insurance company in order to gain approval for an annuity exchange his firm had previously rejected.
FINRA's findings stated that Rick Bianchi created the false document on old letterhead that he obtained from the insurance company through his previous employment, and then submitted it to the firm in order to obtain approval for the variable annuity exchange. Bianchi did not have the insurance company’s authorization to create the document, and the statements contained within the document were not true.
The suspension is in effect from December 1, 2014, through February 28, 2015. (FINRA Case #2014040307401)
Rick Dean Bianchi was registered in the securities industry for 19 years and was previously registered with the following securities firm(s):
05/2013 - 02/2014 QUESTAR CAPITAL CORPORATION (CRD# 43100) - ALTOONA, IA
01/1995 - 04/2013 NEW ENGLAND SECURITIES (CRD# 615) - DES MOINES, IA
FINRA's information ends here.
If you or a family member have become victims of insurance fraud, contact an insurance fraud attorney for a free consultation on how to recover your investment losses. To speak with an attorney, call 888-760-6552.
Soreide Law Group, PLLC, represents Insurance Fraud Victims in Federal Court, State Court and before the Financial Industry Regulatory Authority (“FINRA”).
Investors have reportedly disputed the sales practices of securities broker John Dennis Lowry [CRD: 4336146, New York, New York], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. John Lowry has been registered with Spartan Capital Securities LLC since July 10, 2008. See the following information to learn more about the disclosures involving […]
Investors potentially experienced sales practice violations by securities broker Michael Christopher Venturino [CRD: 5872439, Dix Hills, New York], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Venturino worked for Spartan Capital Securities LLC from April 17, 2018, to February 2, 2023, Trident Partners Ltd. from July 1, 2017, to April […]
Investors might have sustained losses due to securities broker William Samuel Morris (also known as Bill Morris) [CRD: 1793507, Green Bay, Wisconsin], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Morris worked for Cape Securities Inc. from April 21, 2020, to February 25, 2026, and Cape Investment Advisory Inc. from April 6, […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com