The following summation was obtained on the FINRA website. This information can be found under, "Disciplinary and Other FINRA Actions, January, 2014." Jose Jesus Martinez Jr. (CRD #5590432, Registered Representative, Glendale, Arizona) Martinez has been barred by FINRA. Allegedly when an elderly customer left his bank card on Marinez's desk, he kept the card and […]

The Soreide Law Group, (888) 760-6552, has obtained the following summation of information from FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2014.” Ralph Joseph Mangini (CRD #1597490, Registered Representative, Yonkers, New York) was fined $10,000 and suspended from association with any FINRA member in any capacity for two months. Mangini consented to the […]

According to a recent interview on CNBC, Peter Schiff, of Euro Pacific Capital states that, “If the Fed starts tapering the whole economy will tank.” (See: http://www.cnbc.com/id/101352642 for the full interview.) Is gold a suitable investment for all investors? There seems to be a consensus that a small portion of a portfolio should be in […]

Soreide Law Group, (888) 760-6552, obtained the following summation of information from FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2014.” Denise Ellen Roy Malin (CRD #3145027, Registered Principal, Grottoes, Virginia) was barred from association with any FINRA member in any capacity. Malin's customer opened variable annuity accounts and a mutual fund brokerage account […]

Soreide Law Group has been contacted by several Miami investors at FMS (First Miami Securities, Inc.) who were allegedly recommended to sell investment grade bonds with shorter-duration to purchase longer-duration lower-rated Puerto Rican bonds. Puerto Rican bond investors have suffered substantial losses due to the high risk of default by the bond issuers. Bond investors […]

Jesse C. Litvak, a bond trader for Jefferies & Company, Inc., New York, has been accused of deceiving clients in order to maximize his profits. The Court documents filed on Jan. 25, 2013 listed the charges against Jesse Litvak as securities fraud by deceiving buyers, major fraud against the United States and false statements to […]

Soreide Law Group, (888) 760-6552, has obtained the following summation of information from FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2014.” Harry Shaw Hammond (CRD #2261856, Registered Principal, Sarasota, Florida) was fined $10,000 and suspended from association with any FINRA member in any capacity for 12 months. Hammond consented to the described sanctions […]

The following summation of information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2014.” Keith Andrew Halsnik (CRD #5018189, Registered Representative, Bellefonte, Pennsylvania) was barred from association with any FINRA member in any capacity. According to FINRA's findings, Keith Halsnik failed to respond to FINRA’s initial requests for information and documents […]

The Soreide Law Group, (888) 760-6552, has obtained the following summation of information from FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2014.” Lunick Jean Dorleus (CRD #5436401, Registered Representative, Greenacres, Florida) was suspended from association with any FINRA member in any capacity for nine months. Dorleus and others formed an investment club where […]