The Soreide Law Group, (888) 760-6552, has obtained the following summation from FINRA’s website, under “Disciplinary and Other FINRA Actions, May, 2014.”
Nicholas Adam Hill (CRD #5992761, Parkville, Maryland)
was barred by FINRA for allegedly withdrawing $8,000 from his customer bank accounts without the customers’ authorization.
According to FINRA's findings, allegedly Nicholas Hill used the funds for his own personal uses. Hill was terminated and restitution was provided to the customers.
(FINRA Case #2013037985702)
Nicholas Hill was previously registered with the following FINRA firm:
M&T SECURITIES, INC. (CRD# 17358) - TOWSON, MD
12/2011 - 08/2013
The information available on FINRA's website ends here.
If you have experienced financial losses through your broker or financial advisor, call a Securities Arbitration Lawyer for a free consultation on how to potentially recover those losses: 888-760-6552. Soreide Law Group, representing clients nationwide before FINRA.
Investors potentially experienced sales practice violations by securities broker Rajesh Markan [CRD: 4553309, Dallas, Texas], and United States Securities and Exchange Commission barred him, based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Markan worked for Merrill Lynch from May 8, 2009, through November 4, 2022, and Hilltop Securities Inc. from October 5, […]
Investors potentially incurred losses because of securities broker Tory Duggins [CRD: 4556340, New York, New York], and FINRA barred him, given the public information found on FINRA BrokerCheck. Duggins worked for Spartan Capital Securities LLC from February 29, 2016, to January 31, 2024. See below to find out more about Duggins’s disclosures. FINRA Sanctioned Duggins […]
Financial Industry Regulatory Authority (FINRA) barred securities broker Brian James Pavelko [CRD: 6347352, Milpitas, California], according to information disclosed through BrokerCheck. Pavelko worked for SW Financial from September 20, 2018, to March 3, 2022, and NI Advisors from March 13, 2022, to December 23, 2025. Investors are encouraged to continue reading to learn more about […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com