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, August, 2013.”
Anthony Mediate III (CRD #2449614, Registered Representative, Red Bank, New Jersey)
was suspended from association with any FINRA member in any capacity for 60 days. Because of Anthony Mediate’s financial status, no monetary sanctions have been imposed. Without admitting or denying the findings, Mediate consented to the described sanction and to the entry of findings that he engaged in excessive trading and exercised discretion without written authorization in his client's account.
The FINRA findings stated that during 15 months that the customer maintained the IRA account with Anthony Mediate at his firms, the client incurred a net loss of approximately $55,000. The customer paid $37,464.45 in commissions.
The turnover ratio for the account was calculated at 5.35 and the commission-to-equity ratio was calculated 30 percent. This was inconsistent with the customer’s stated objectives and financial situation.
FINRA found that Anthony Mediate failed to disclose an unsatisfied judgment on his Form U4 until two days after he was confronted with the judgment at a FINRA on-the-record interview.
This suspension is in effect from July 15, 2013, through September 12, 2013. (FINRA Case #2009018517201)
According to FINRA's BrokerCheck, ANTHONY MEDIATE III, CRD# 2449614, is currently employed by and registered with the following FINRA Firm:
NATIONAL SECURITIES CORPORATION
514 ROUTE 35 SOUTH
RED BANK, NJ 07701
CRD# 7569
Registered with this firm since: 11/19/2012
Anthony Mediate was previously registered with FINRA at the following brokerage firms:
NEWBRIDGE SECURITIES CORPORATION
CRD# 104065
RED BANK, NJ
12/2011 - 11/2012
NATIONAL SECURITIES CORPORATION
CRD# 7569
TINTON FALLS, NJ
01/2011 - 12/2011
J.P. TURNER & COMPANY, L.L.C.
CRD# 43177
RED BANK, NJ
10/2007 - 01/2011
This ends FINRA's information.
If you feel your account has had excessive trading by your broker, call Soreide Law Group for a free consultation at (888) 760-6552.
Investors might have sustained financial harm through WestPark Capital Inc. [CRD: 39914, Los Angeles, California], according to publicly available information found on Financial Industry Regulatory Authority BrokerCheck. WestPark Capital has been registered with FINRA since 1996 and maintains its headquarters in Los Angeles, California. Keep reading to discover more about the regulatory action involving the […]
Investors might have sustained losses due to securities broker James Fredrick Tighe [CRD: 3129233, Phoenix, Arizona], and Financial Industry Regulatory Authority barred him, based on public information on BrokerCheck. Tighe was associated with Morgan Stanley from June 1, 2009, through January 14, 2025. Continue reading to find out more about Tighe’s regulatory and client dispute […]
Investors potentially experienced sales practice violations by securities broker Sung Moo Cho (also known as Sam Cho) [CRD: 5015906, New York, New York], and FINRA barred him, given the public information found on FINRA BrokerCheck. Cho was associated with Ameriprise Financial Services from January 22, 2021, to October 21, 2025, and Citigroup Global Markets from […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com