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.”
Michael John Kmetz (CRD #4430001, Registered Principal, Cazenovia, New York)
was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Kmetz consented to the described sanction and to the entry of findings that he failed to appear for testimony and provide documents to FINRA in connection with a complaint from an elderly investor, who alleged that Kmetz had engaged in a variety of business activities and transactions with him away from his member firm.
FINRA's findings stated that Kmetz advised FINRA, through his counsel, that he would not respond to its request for documents or testimony.
(FINRA Case #2013035808901)
Michael Kmetz was previously registered with FINRA at the following brokerage firms according to FINRA's BrokerCheck:
PARK AVENUE SECURITIES LLC
CRD# 46173
EAST SYRAC-- USE, NY
12/2005 - 06/2011
CARILLON INVESTMENTS, INC.
CRD# 14646
CINCINNATI, OH
01/2004 - 12/2005
CADARET, GRANT & CO., INC.
CRD# 10641
SYRAC-- USE, NY
02/2003 - 12/2003
This ends the information obtained from FINRA’s website.
Soreide Law Group represents clients nationwide before FINRA. If you have sustained investment losses due to your stock broker/financial advisor’s recommendations, call for a free consultation with an attorney on how to potentially recover those losses: 888-760-6552.
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