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June 20, 2013
Miami Rep Fined and Suspended by FINRA for Borrowing Money From Clients

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 […]

June 20, 2013
Wisconsin Rep Barred by FINRA

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 […]

June 20, 2013
Former Morgan Stanley Smith Barney Rep Fined and Suspended by FINRA

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 […]

June 20, 2013
Massachusetts Broker Fined and Suspended by FINRA for Impersonating Clients by Phone

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 […]

June 20, 2013
Minnesota Broker Fined and Suspended by FINRA

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 […]

June 20, 2013
North Carolina Rep Barred by FINRA for Failure to Remit Insurance Payments

The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” Ronald Allen Bundy (CRD #5964805, Registered Representative, Raeford, North Carolina) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Bundy consented to the described sanction and to the entry of findings that […]

June 20, 2013
California Rep Barred by FINRA

The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” Steven Robert Aron (CRD #4664318, Registered Representative, Agoura Hills, California) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Aron consented to the described sanction and to the entry of findings that […]

June 20, 2013
Former Wells Fargo Advisors Connecticut Broker Barred by FINRA

The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” Joseph John Antosh Jr. (CRD #713649, Registered Representative, Brookfield, Connecticut) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Joseph Antosh consented to the described sanction and to the entry of findings […]

June 20, 2013
Mobile, AL, Rep Fined and Suspended by FINRA

The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” David Darrell Anthony (CRD #4671195, Registered Representative, Mobile, Alabama) was fined $7,500 and suspended from association with any FINRA member in any capacity for six months. Without admitting or denying the allegations, Anthony consented to the described sanctions and to […]

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