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 […]

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 […]

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.” Anthony Mediate III (CRD #2449614, Registered Representative, Red Bank, New Jersey) was suspended from association with any FINRA member in any capacity for 60 days. Because of Anthony Mediate’s financial […]

The following information was found on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013.” Call Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Chadrick David Kelly (CRD #2712230, Registered Representative, Denham Springs, Louisiana) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Kelly […]

The following information was found on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013.” Call Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Chadrick David Kelly (CRD #2712230, Registered Representative, Denham Springs, Louisiana) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Kelly […]

This information appeared on FINRA’s website under “Disciplinary and Other Actions, August, 2013.” Giles Anthony Hoagland (CRD #4160185, Registered Representative, Peru, Indiana) was barred from association with any FINRA member in any capacity. This sanction was based on findings that Hoagland began using his client’s monthly insurance premiums to pay his own personal expenses. Giles […]

Soreide Law Group, PLLC, is a Securities Arbitration Law Firm, (888) 760-6552. The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013.” Diego Fernando Hernandez (CRD #3054186, Registered Representative, Lonetree, Colorado) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Hernandez […]