The following list of individual brokers who were barred by FINRA, appeared on FINRA's website under, ""Disciplinary and Other Actions, June, 2014." Individuals Barred for Failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(h) (If the bar has been vacated, the date follows the bar date.) Christopher Bryan Babbitt (CRD #6123929) […]

The following list was obtained on FINRA's "Disciplinary and Other Actions, June, 2014." The following are the Firms Suspended for "Failure to Supply Financial Information Pursuant to FINRA Rule 9552" (According to FINRA, the date the suspension began is listed after the entry. If the suspension has been lifted, the date follows the suspension date.) […]

This summation of information was found on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2014.” Soreide Law Group (888) 760-6552. World Trade Financial Corporation (CRD #42638, San Diego, California), Jason Troy Adams (CRD #2137404, La Mesa, California), Frank Edward Brickell (CRD #3257725, Encinitas, California) and Rodney Preston Michel (CRD #1275392, San Diego, California). […]

Soreide Law Group, (888) 760-6552, obtained the following summation of information from FINRA’s website, in “Disciplinary and Other FINRA Actions, May, 2014.” Wei-Sheng Wang (CRD #2253377, Warren, New Jersey) was barred by FINRA allegedly because he and his wife, who is non-registered, accepted over $130,000 from clients of Wang's firm’s affiliate insurance company for life […]

The following summation of information is from FINRA’s website under “Disciplinary and Other FINRA Actions, May, 2014.” Call Soreide Law Group at (888) 760-6552. Jeremy Gerald Tintle (CRD #2817173, Hawley, Pennsylvania) was barred by FINRA for allegedly participating in private securities transactions without providing his firm with prior written notice of the proposed transactions. Tintle […]

PATRICIA S. MILLER (CRD# 2302464) formerly registered representative with Investors Capital in McMurry, Pennsylvania, a branch of Massachusetts-based Investors Capital Corporation, was arrested and charged with wire fraud. Several of her clients claim she allegedly misappropriated their investments worth hundreds of thousands of dollars. According to the court records, Miller attempted suicide and was slumped […]

This summation of information was found on FINRA’s website under “Disciplinary and Other FINRA Actions, May, 2014.” Soreide Law Group (888) 760-6552. Bernardita Cortez Roque (CRD #3116405, Virginia Beach, Virginia) was barred by FINRA for allegedly referring clients to a private investment company that offered private placement investments. This was done allegedly without her firm’s […]

The Fort Lauderdale, Florida based Soreide Law Group, phone (888) 760-6552, has obtained the following summation of information from FINRA’s website, under “Disciplinary and Other FINRA Actions, May, 2014.” Matthew John Ortman (CRD #2734101, Jacksonville, Florida) was barred by FINRA. There was a FINRA investigation concerning the alleged falsification of records by Matthew Ortman and […]

Fort Lauderdale-based Soreide Law Group, phone (888) 760-6552, obtained the following summation of information from FINRA’s website, under “Disciplinary and Other FINRA Actions, May, 2014.” Khoi Danh Nguyen (CRD #4640647, Jacksonville, Florida) was barred By FINRA for allegedly conducting improper credit inquiries and falsifying automobile applications to an affiliated insurance company and corresponding consolidated insurance […]