The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, July, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Adoris Sheldon Turner II (CRD #4804592, Registered Representative, Dallas, Texas) was fined $10,000 and suspended from association with any FINRA member in any capacity for two years. Without […]

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, July, 2013.” Gary Mitchell Spitz (CRD #1828144, Registered Principal, Fairfield, Iowa) was fined $5,000 and suspended from association with any FINRA member in any principal capacity for one year. Without admitting or […]

The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, July, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Carlos Mark Silva (CRD #5913918, Registered Representative, Bridgeport, Connecticut) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Silva consented […]

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, July, 2013.” Kapil Shashikant Shah aka Shah Shashikant Shah (CRD #4409290, Registered Principal, Jersey City, New, Jersey) was barred from association with any FINRA member in any capacity. The sanction was based […]

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, July, 2013.” Ralph Anthony Saviano (CRD #1081879, Registered Principal, Bound Brook, New Jersey) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Saviano […]

The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, July, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Carlos Francisco Otalvaro aka Francisco Hormillosa Otalvaro (CRD #2294420, Registered Principal, Coral Gables, Florida) was barred from association with any FINRA member in any capacity and ordered to […]

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, July, 2013.” Henry Nguyen (CRD #5815024, Registered Representative, San Jose, California) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Nguyen consented to the […]

The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, July, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Jeffrey Ng (CRD #1234807, Registered Principal, Stamford, Connecticut) was fined $25,000 and suspended from association with any FINRA member in any capacity for two years. The NAC imposed […]

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, July, 2013.” Frank Oswaldo Naula (CRD #1344900, Registered Representative, Merrick, New York) was barred from association with any FINRA member in any capacity. In light of Naula’s financial status, no monetary sanction […]