Soreide Law Group (888-760-6552) obtained the following from FINRA’s February, 2017 Disciplinary Report: Thomas Joseph Vilord (CRD #4261608, Sewell, New Jersey) was barred by FINRA for allegedly participating in undisclosed private securities transactions* involving more than $347,500 in unregistered corporate debenture notes sold to clients of his member firm. FINRA’s findings stated that Thomas Joseph […]

Soreide Law Group obtained the following complaint information from FINRA’s website under the February 2017 Disciplinary Report: (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 allegations […]

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 […]