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, June, 2013.” Annie Orion Kim (CRD #4821323, Registered Representative, Chicago, Illinois) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Kim failed to […]

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, June, 2013.” Joseph Henry Johnson (CRD #1312422, Registered Principal, Sayville, New York) was fined $5,000 and suspended from association with any FINRA member in any capacity for 30 days. Without admitting or […]

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, June, 2013.” Michael Charles Jennings (CRD #702719, Registered Representative, Wellesley, Massachusetts) was fined $20,000 and suspended from association with any FINRA member in any capacity for 10 business days. The sanctions were […]

This information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” Timothy Joseph Golonka (CRD #1792138, Registered Representative, Collegeville, Pennsylvania) was fined $20,000 and suspended from association with any FINRA member in any capacity for 18 months. The NAC imposed the sanctions following appeal of an OHO decision. The sanctions were based […]

This information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” Frederico Goldin (CRD #4548232, Registered Representative, Aventura, Florida) was fined $5,000 and suspended from association with any FINRA member in any capacity for one month. The fine must be paid either immediately upon Goldin’s reassociation with a FINRA member firm following […]

The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” Todd Lloyd Goedeke (CRD #1210932, Registered Principal, Howards Grove, Wisconsin) was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations, Goedeke consented to the described sanction and to the entry of findings that […]

The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” Darrah Lee Gleason (CRD #2442684, Registered Representative, Old Greenwich, Connecticut) was fined $5,000 and suspended from association with any FINRA member in any capacity for one month. Without admitting or denying the allegations, Gleason consented to the described sanctions and […]

The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” Earl William Fay (CRD #2492793, Registered Representative, Milton, Massachusetts) was fined $7,500 and suspended from association with any FINRA member in any capacity for 30 business days. Without admitting or denying the findings, Fay consented to the described sanctions and […]

The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” James Merle Culbertson (CRD #1716829, Registered Representative, Oakdale, Minnesota) was fined $20,000 and suspended from association with any FINRA member in any capacity for 12 months. Without admitting or denying the findings, Culbertson consented to the described sanctions and to […]