The following summation of information was found on FINRA’s website under “Disciplinary and Other FINRA Actions, May, 2014.” Call Soreide Law Group, a Securities Arbitration Law Firm at (888) 760-6552.
Monte Kim Miron (CRD #853546, Broken Arrow, Oklahoma)
was barred by FINRA for allegedly making unauthorized trades in the accounts of his firm’s clients.
FINRA's report stated that allegedly Monte Miron did not obtain required written authorization to make the trades, prior to executing them. Miron's firm did not allow brokers to have control over client accounts.
Also, FINRA's report states that Miron mismarked the unauthorized trades as unsolicited. This caused the firm’s books and records to be inaccurate. Also, Miron failed to update his Form U4 by disclosing the credit compromise.
(FINRA Case #2012033979801)
Monte Kim Miron was previously registered with the following FINRA firm(s):
MML INVESTORS SERVICES, LLC (CRD# 10409) - TULSA, OK
09/2012 - 02/2013
AXA ADVISORS, LLC (CRD# 6627) - TULSA, OK
12/2007 - 09/2012
METLIFE SECURITIES INC. (CRD# 14251) - TULSA, OK
02/2005 - 01/2008
METROPOLITAN LIFE INSURANCE COMPANY (CRD# 4095) - TULSA, OK
02/2005 - 07/2007
UBS FINANCIAL SERVICES INC. (CRD# 8174) - WEEHAWKEN, NJ
03/2004 - 02/2005
WACHOVIA SECURITIES, LLC (CRD# 19616) - ST. LOUIS, MO
12/2003 - 01/2004
BLUE MARBLE FINANCIAL, LLC (CRD# 103989) - IRVING, TX
07/2002 - 04/2003
SECURITIES AMERICA, INC. (CRD# 10205) - LAVISTA, NE
07/2001 - 06/2002
PROEQUITIES, INC. (CRD# 15708) - BIRMINGHAM, AL
06/2000 - 07/2000
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD# 6363) - MINNEAPOLIS, MN
06/2000 - 06/2000
IDS LIFE INSURANCE COMPANY (CRD# 6321) - MINNEAPOLIS, MN
06/2000 - 06/2000
EDWARD D. JONES & CO., L.P. (CRD# 250) - ST. LOUIS, MO
10/1998 - 01/1999
DEAN WITTER REYNOLDS INC. (CRD# 7556) - PURCHASE, NY
09/1982 - 09/1982
OTC NET INCORPORATED (CRD# 7756) 01/1982 - 04/1982
This information from FINRA's website ends here.
If you sustained financial losses because of your broker or financial advisor's recommendations, call a Securities Arbitration Lawyer for your free consultation at 888-760-6552. The Soreide Law Group represents clients nationwide before FINRA.
JOSEPH KELLY (JOE KELLY) has been registered as a broker with VCS VENTURE SECURITIES of New York, NY since 6/17/2026. He was previously registered with SPARTAN CAPITAL SECURITIES LLC of New York, NY from 01/13/2017 - 12/18/2024. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, JOSEPH KELLY has 21 years of experience […]
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CENTAURUS FINANCIAL, INC (Respondent). The Claimants reside in Arizona and are retired. The Claimants were seeking stable investments that would provide them with income. The lawsuit states that the Claimants have a long-standing relationship with CENTAURUS FINANCIAL and its Financial Advisor, […]
Soreide Law Group is investigating potential investor claims involving DCM US Multi-Family Homes PLC notes sold or recommended through Andbanc Brokerage LLC. They are also investigating sales or recommendations through Andbanc Advisory LLC. Additionally, they are reviewing sales or recommendations through BCI Securities, Inc., Boreal Capital Securities, LLC (also known as Mora Capital Securities), and […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com