The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Raymond James & Associates, Inc. (CRD #705, St. Petersburg, Florida) was censured, fined $27,500 and required to revise its WSPs regarding compliance with NASD Rule 2440 and IM-2440. […]

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, June, 2013.” HKC Securities, Inc. nka ACGM, Inc. (CRD #29705, New York, New York) and Harold Kenneth Cohen (CRD #49888, Registered Principal, Palm Beach, Florida) the firm was censured and fined $50,000, […]

The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Michael John Woods (CRD #1884701, Registered Principal, Dexter, Michigan) was fined $20,000 and suspended from association with any FINRA member in any capacity for two years. Without admitting […]

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, June, 2013.” Matthew Michael Van Schaik (CRD #4531203, Registered Representative, Beavercreek, Ohio) barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Van Schaik 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, June, 2013.” Manry Sumaqui Valenzona (CRD #3195544, Registered Representative, Chicago, Illinois) was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations, Valenzona consented to the […]

The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Frank John Tarazon (CRD #3272807, Registered Representative, Oxnard, California) was fined $20,000 and suspended from association with any FINRA member in any capacity for six months. Without admitting […]

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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, June, 2013.” Cecilia Sawyer aka Cecilia Villanueva (CRD #2549482, Registered Principal, Federal Way, Washington) was barred from association with any FINRA member in any capacity. The sanction was based on findings that […]

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, June, 2013.” Thomas Gerald Recck (CRD #2703877, Registered Representative, Wethersfield, Connecticut) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Recck consented to the […]