Soreide Law Group, a Securities Arbitration Lawfirm, (888) 760-6552, has obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, September, 2013.” Robert Brian Kay (CRD #1133657, Registered Principal, Las Vegas, Nevada) was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations, Kay consented to […]

Private placements are securities in non-public offerings that are exempt from registration under the federal securities laws. Billions of dollars are raised each year by selling these securities. Private placements can be a good source of capital for American businesses, especially start-up companies. However, investing in private placements is risky business and can tie up […]

FINRA lists the following on their website under “Disciplinary and Other FINRA Actions, September, 2013.” Stephen Yarkpazuo Jensen (CRD #4400624, Registered Representative, Redford, Michigan) was barred from association with any FINRA member in any capacity. Jensen misappropriated a client’s funds without her knowledge by taking loans totaling $12,500 against her insurance policy and forging her […]

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 […]