Many insurance companies are promoting their annuities, indexed annuities and hybrid annuities with a 7% annuity guaranteed income riders due to low interest rates and volatile stock markets. Investors, especially retired investors who may be handling their own investments management, are encouraged to make sure they understand exactly what “guaranteed income” means. The popular 'Income […]

The Financial Industry Regulatory Authority's (FINRA) 2013 fines and disciplinary actions are short of the 2012 totals. During the first half of 2013, FINRA reported $23 million of fines in its monthly "Disciplinary and Other FINRA Actions." However, during the first half of 2012, FINRA reported fines of broker-dealers and associated persons at $39 million, […]

The Financial Industry Regulatory Authority's (FINRA) 2013 fines and disciplinary actions are short of the 2012 totals. During the first half of 2013, FINRA reported $23 million of fines in its monthly "Disciplinary and Other FINRA Actions." However, during the first half of 2012, FINRA reported fines of broker-dealers and associated persons at $39 million, […]

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 […]