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 […]

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. Edwin Efrain Mosquera (CRD #3049414, Registered Representative, Howard Beach, New York) was barred from association with any FINRA member in any capacity. In light of Mosquera’s financial status, […]

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.” Kenneth Andrew Mauchin (CRD #2366345, Registered Principal, Sanford, Florida) was barred from association with any FINRA member in any capacity. FINRA’s Enforcement Department did not seek restitution because the member […]

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.” Jeffrey Elliott Ludwick (CRD #2267071, Registered Representative, San Antonio, Texas) was suspended from association with any FINRA member in any capacity for three months. In light of Ludwick’s financial status, […]

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.” Debra Kay Littlefield (CRD #2312877, Registered Representative, Inman, South Carolina) was fined $5,000 and suspended from association with any FINRA member in any capacity for two months. Without admitting or […]

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.” Michael John Kmetz (CRD #4430001, Registered Principal, Cazenovia, New York) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Kmetz consented 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.” John Sean Kennedy (CRD #2660518, Registered Representative, Encino, California) was fined $15,000 and suspended from association with any FINRA member in any capacity for eight months. Without admitting or denying […]