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. Elmer Wayne Bullis (CRD #1718482, Registered Representative, Richmond, Virginia) was fined $15,000 and suspended from association with any FINRA member in any capacity for three months. Without admitting […]

FINRA lists the following on their website under “Disciplinary and Other FINRA Actions, August, 2013.” Anthony David Brentin (CRD #5550765, Registered Principal, Longview, Washington) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Brentin consented to the described sanction and to the entry of findings that Brentin […]

FINRA lists the following on their website under “Disciplinary and Other FINRA Actions, August, 2013.” Anthony David Brentin (CRD #5550765, Registered Principal, Longview, Washington) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Brentin consented to the described sanction and to the entry of findings that Brentin […]

Soreide Law Group, (888) 760-6552, obtained the information below on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013.” Christian Joel Brand (CRD #2434521, Registered Representative) was suspended from association with any FINRA member in any capacity for four months. Without admitting or denying the allegations, Brand consented to the described sanction and to […]

Soreide Law Group, (888) 760-6552, has obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, July, 2013.” Richard Allen Barnett (CRD #2347495, Registered Representative, Grand Blanc, Michigan) was fined $15,000 and suspended from association with any FINRA member in any capacity for one year and three months. Without admitting or denying […]

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. William Cecil Babb III (CRD #1276193, Registered Representative, Cary, North Carolina) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, […]

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. William Cecil Babb III (CRD #1276193, Registered Representative, Cary, North Carolina) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, […]

Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013.” Giancarlo Ciocca (CRD #4252148, Registered Representative, Coral Gables, Florida) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Ciocca consented to the […]

The following information appeared on FINRA’s website’s ‘Disciplinary Actions, August, 2013.” Joseph Anthony Carpenter Jr. (CRD #4998111, Registered Representative, Palm Harbor, Florida) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Carpenter consented to the described sanction and to the entry of findings that a customer gave […]