Soreide Law Group (888-760-6552) obtained the following from FINRA’s February 2017 Disciplinary Report: Marc Donald Bushey (CRD #2405482, Plympton, Massachusetts) was barred by FINRA for allegedly converting and improperly using a trust fund for his personal use, which he neither owned nor was entitled to possess. FINRA’s findings stated that Bushey assisted a client and […]

Soreide Law Group obtained the following information from FINRA’s February 2017 Disciplinary Report: Daryl Eugene Allison (CRD #3686, Lubbock, Texas) was fined $10,000 and barred by FINRA for allegedly failing to supervise two registered representatives’ offers and sales of closed-end mutual funds to clients by ignoring or failing to detect numerous red flags indicating that […]

The Pompano Beach, Florida-based, Soreide Law Group obtained the following information from FINRA’s website: Mark Robert Holcombe (CRD #2901441, Pompano Beach, Florida) was assessed a deferred fine of $10,000 and suspended by FINRA for nine months for allegedly participating in two separate private securities transactions involving a company for which he served as the chairman […]

Soreide Law Group obtained the following complaint on FINRA’s website under, “Disciplinary and Other FINRA Actions, January 2017.” (Issuance of a disciplinary complaint represents FINRA’s initiation of a formal proceeding in which findings as to the allegations in the complaint have not been made, and does not represent a decision as to any of the […]

Soreide Law Group, based in South Florida, obtained the following complaint from FINRA’s website under, “Disciplinary and Other FINRA Actions, January 2017.” (Issuance of a disciplinary complaint represents FINRA’s initiation of a formal proceeding in which findings as to the allegations in the complaint have not been made, and does not represent a decision as […]

Soreide Law Group (888-760-6552) obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions January 2017.” (FINRA issued the following complaint, and the issuance of a disciplinary complaint represents FINRA’s initiation of a formal proceeding in which findings as to the allegations in the complaint have not been made, and does not […]

MATTHEW CHRISTOPHER MACZKO (MATHEW MACZKO) CRD#: 1888519 a former Wells Fargo Advisors registered representative, has been barred by  the Financial Industry Regulatory Authority Inc. (FINRA).  Matthew Maczko was allegedly trading excessively in the accounts of an elderly client and then generating hundreds of thousands of dollars in commissions for himself. On February 9th., 2017, Matthew […]

Soreide Law Group (888-760-6552) obtained the following information from the Disciplinary Report January 2017, on FINRA’s website: Kevin Paul Hudak (CRD #4439153, Albuquerque, New Mexico) was barred by FINRA for allegedly submitting non-solicitation forms to his member firm that had non-authentic client signatures. FINRA’s findings stated that Hudak’s firm required these non-solicitation forms in order […]

Soreide Law Group (888-760-6552) obtained the following from FINRA’s website under, “Disciplinary and Other FINRA Actions, January 2017.” John Billy Kakonikos (CRD #4017356, Flushing, New York) was assessed a deferred fine of $10,000, suspended by FINRA for 18 months, and ordered to pay deferred restitution in the amount of $72,524.53, plus interest, to a client […]