Soreide Law Group, (888) 760-6552, obtained the information below on FINRA’s website under “Disciplinary and Other FINRA Actions, September, 2013.” Randy Willis Hayes III (CRD #5361647, Registered Representative, West Palm Beach, Florida) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Hayes withdrew, or failed to […]

The following information has been obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, September, 2013.” Bruce Martin Harada (CRD #2324524, Registered Representative, Honolulu, Hawaii) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Harada consented to the described sanction and to the entry of findings […]

Soreide Law Group, PLLC, (888) 760-6552, has obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, September, 2013.” Carlos C. Garcia (CRD #2635960, Registered Principal, Westport, Connecticut) was fined $5,000 and suspended from association with any FINRA member in any capacity for five months. Without admitting or denying the findings, Garcia […]

Soreide Law Group, PLLC, (888) 760-6552, has obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, September, 2013.” Carlos C. Garcia (CRD #2635960, Registered Principal, Westport, Connecticut) was fined $5,000 and suspended from association with any FINRA member in any capacity for five months. Without admitting or denying the findings, Garcia […]

Soreide Law Group, PLLC, (888) 760-6552, obtained he following information on FINRA’s website under “Disciplinary and Other FINRA Actions, September, 2013.” Matthew Francis Deline (CRD #4910379, Registered Representative, Encinitas, California) was barred from association with any FINRA member in any capacity. This sanction was based on FINRA's findings that Deline failed to appear and testify […]

The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, September, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Daniel Patrick Deighan (CRD #1029361, Registered Principal, Merritt Island, Florida) was fined $27,500 and suspended from association with any FINRA member in any capacity for seven months. Without […]

The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, September, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Daniel Patrick Deighan (CRD #1029361, Registered Principal, Merritt Island, Florida) was fined $27,500 and suspended from association with any FINRA member in any capacity for seven months. Without […]

The Soreide Law Group, (888) 760-6552, has obtained he following information on FINRA’s website under “Disciplinary and Other FINRA Actions, September, 2013.” Peter Shawn Chung (CRD #1700865, Registered Representative, North Miami, Florida) has been barred from association with any FINRA member in any capacity. Without admitting or denying the allegations, Chung consented to the described […]

The following information was found on FINRA’s website under “Disciplinary and Other FINRA Actions, September, 2013.” Call Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Jill Meredith Carr (CRD #5353409, Registered Representative, Ellicott City, Maryland) was fined $10,000 and suspended from association with any FINRA member in any capacity for two years. Without […]