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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 […]

July 18, 2013
Iowa Principal Broker Fined and Suspended by FINRA for Lack of Due Diligence For Private Offerings

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.” Gary Mitchell Spitz (CRD #1828144, Registered Principal, Fairfield, Iowa) was fined $5,000 and suspended from association with any FINRA member in any principal capacity for one year. Without admitting or […]

July 18, 2013
Broker Barred by FINRA for Misappropriation of $1.4 million

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. Carlos Mark Silva (CRD #5913918, Registered Representative, Bridgeport, Connecticut) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Silva consented […]

July 17, 2013
Broker Barred by FINRA for Alleged Unsuitable Recommendations and Misrepresentations to Clients

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.” Kapil Shashikant Shah aka Shah Shashikant Shah (CRD #4409290, Registered Principal, Jersey City, New, Jersey) was barred from association with any FINRA member in any capacity. The sanction was based […]

July 17, 2013
New Jersey 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.” Ralph Anthony Saviano (CRD #1081879, Registered Principal, Bound Brook, New Jersey) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Saviano […]

July 17, 2013
Coral Gables FL Broker Barred by FINRA for Misuse of Customer's Funds

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. Carlos Francisco Otalvaro aka Francisco Hormillosa Otalvaro (CRD #2294420, Registered Principal, Coral Gables, Florida) was barred from association with any FINRA member in any capacity and ordered to […]

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