Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, July, 2013.”
Jessica Lyn Fenner (CRD #4437897, Associated Person, Washington, New Jersey)
was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Fenner consented to the described sanction and to the entry of findings that she photocopied a firm customer’s signatures and affixed them to withdrawal forms to withdraw a total of $36,000 from the customer’s variable annuity and transfer the funds into a bank account she controlled, without the permission or authority of the customer or her member firm to engage in this conduct. Fenner converted the $36,000 by forging the customer’s signature on the account-withdrawal forms.
(FINRA Case #2012034801201)
This ends the information obtained on FINRA’s website.
Call Soreide Law Group for a free consultation with an attorney on how to potentially recover your losses: 888-760-6552.
Soreide Law Group is investigating potential investor claims involving RAD Diversified REIT Inc., specifically focusing on whether brokers or financial advisors improperly recommended this non-traded real estate investment trust despite mounting red flags. RAD Diversified REIT raised investor funds to acquire and manage real estate assets nationwide, positioning itself as an accessible way for individuals […]
Investors apparently complained about securities broker Richard James Carlesco Jr. [CRD: 2135988, Liverpool, New York], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Carlesco worked for IBN Financial Services Inc. from October 24, 2000, to the present, and later registered with Cambridge Investment Research Inc. and Cambridge Investment Research Advisors Inc. beginning April […]
Investors potentially experienced sales practice violations by securities broker Steven Wallace Schmitt [CRD: 4486457, Paramus, New Jersey], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Schmitt worked for Raymond James Associates Inc. since November 9, 2022, and previously worked for Morgan Stanley from October 7, 2016, to November 29, 2022. […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com