The Soreide Law Group, PLLC, (888) 760-6552, has obtained he following information on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013.” David Albert Urovsky (CRD #1806732, Registered Principal, Rockville, Maryland) was fined $5,000 and suspended from association with any FINRA member in any capacity for one month. FINRA took into account the sanctions […]

The Soreide Law Group, PLLC, (888) 760-6552, has obtained he following information on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013.” David Albert Urovsky (CRD #1806732, Registered Principal, Rockville, Maryland) was fined $5,000 and suspended from association with any FINRA member in any capacity for one month. FINRA took into account the sanctions […]

The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Warren Leroy Troutman (CRD #449648, Registered Representative, Freeport, Pennsylvania) was fined $5,000 and suspended from association with any FINRA member in any capacity for two months. Without admitting […]

The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Warren Leroy Troutman (CRD #449648, Registered Representative, Freeport, Pennsylvania) was fined $5,000 and suspended from association with any FINRA member in any capacity for two months. Without admitting […]

Soreide Law Group, PLLC, (888) 760-6552, obtained he following information on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013.” Christopher Francis Smith (CRD #2710455, Registered Representative, Hicksville, New York) was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations, Smith consented to the described sanction and […]

Soreide Law Group, PLLC, (888) 760-6552, obtained he following information on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013.” Christopher Francis Smith (CRD #2710455, Registered Representative, Hicksville, New York) was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations, Smith consented to the described sanction and […]

This information appeared on FINRA’s website under “Disciplinary and Other Actions, August, 2013.” Juan Carlos Parets (CRD #4839759, Registered Representative, New York, New York) was suspended from association with any FINRA member in any capacity for 18 months and ordered to pay $30,000 in restitution to customers, and based on Juan C. Parets’ demonstration of […]

This information appeared on FINRA’s website under “Disciplinary and Other Actions, August, 2013.” Juan Carlos Parets (CRD #4839759, Registered Representative, New York, New York) was suspended from association with any FINRA member in any capacity for 18 months and ordered to pay $30,000 in restitution to customers, and based on Juan C. Parets’ demonstration of […]

Soreide Law Group, PLLC, a Securities Arbitration Law Firm, (888) 760-6552, obtained he following information on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013.” Craig Robert Morrison (CRD #4490109, Registered Representative, Gainesville, Florida) fined $5,000 and suspended from association with any FINRA member in any capacity for three months. Without admitting or denying […]