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July 22, 2013
New York Firm Fined and Censured by FINRA over Municipal Securities Fair Pricing

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.” Bishop, Rosen & Co., Inc. (CRD #1248, New York, New York) was censured, fined $32,500, ordered to pay $7,613.14, plus interest, in restitution to customers, and required to revise its […]

July 22, 2013
Kansas Firm and Registered Principal Fined by FINRA for Supervisory Failures in the Sale of Non-Conventional Investments

The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, July, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. VSR Financial Services, Inc. (CRD #14503, Overland Park, Kansas) and Donald Joseph Beary (CRD #15818, Registered Principal, Lenexa, Kansas) the firm was censured and fined $550,000. Beary was […]

July 22, 2013
California Firm and Principal Broker Fined Over Sale of Promissory Notes

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.” GlobaLink Securities, Inc. (CRD® #29721, Pasadena, California) and Junhua Michael Liao (CRD #4278425, Registered Principal, San Gabriel, California) the firm was fined $20,000, jointly and severally with Liao. Liao was […]

July 22, 2013
American Realty Capital REIT Cut by National Planning Corporation

The National Planning Corp.(NPC), a leading independent broker-dealer, said last week that it has suspended sales of American Realty Capital Trust V Inc., a fast-selling product that in June averaged sales of $10.8 million per day according to an article by Bruce Kelly of Investment News. Last Monday, NPC said that its concerns over ARC […]

July 22, 2013
Two South Florida Brokers Barred by FINRA

On July 19, 2013, two South Florida brokers were barred by the Financial Industry Regulatory Agency (FINRA). In an article from the Sun Sentinel, Donna Gehrke-White writes that they were both accused of mishandling money. However, one case is on appeal and the sanctions don't take effect, pending the appeal. Alan Jay Davidofsky, Delray Beach, […]

July 19, 2013
Former Financial Planner Convicted on Securities Fraud

In an article posted in the Indianapolis Star yesterday, Thomas Redmond Jr., was convicted on securities fraud charges, and sentenced to four years in prison followed by six years on work release. Redmond was placed in handcuffs and taken to the Marion County Jail. Thomas Redmond, 61, was charged in April on 10 counts of […]

July 18, 2013
Broker Barred by FINRA Regarding Private Securities Transaction Investigation

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.” Scott Fitzgerald Wright (CRD #2087728, Registered Representative, San Clemente, California) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Wright failed […]

July 18, 2013
Missouri Broker Barred by FINRA

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.” Timothy Ruben Ward (CRD #2600718, Registered Representative, Dexter, Missouri) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Ward consented to the […]

July 18, 2013
Dallas Broker Fined and Suspended by FINRA

The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, July, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Adoris Sheldon Turner II (CRD #4804592, Registered Representative, Dallas, Texas) was fined $10,000 and suspended from association with any FINRA member in any capacity for two years. Without […]

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