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.” Philip Pursino (CRD #3212554, Registered Representative, West Hempstead, New York) was fined $5,000 and suspended from association with any FINRA member in any capacity for two months. Without admitting or […]

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. Sharon Mae Perdue (CRD #2537681, Registered Principal, Longmont, Colorado) was fined $15,000 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.” Ronald Wayne Nichter (CRD #3127417, Registered Principal, Greenfield, Indiana) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Nichter consented to the […]

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.” Julie Thompson Moat aka Jill Moat (CRD #4916242, Registered Representative, Henderson, Nevada) was suspended from association with any FINRA member in any capacity for 45 days and ordered to pay […]

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 Gordon Kartchner (CRD #4912771, Registered Representative, Taylorsville, Utah) was fined $10,000 and suspended from association with any FINRA member in any capacity for two years. 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, June, 2013.” Annie Orion Kim (CRD #4821323, Registered Representative, Chicago, Illinois) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Kim failed 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.” Joseph Henry Johnson (CRD #1312422, Registered Principal, Sayville, New York) was fined $5,000 and suspended from association with any FINRA member in any capacity for 30 days. 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, June, 2013.” Michael Charles Jennings (CRD #702719, Registered Representative, Wellesley, Massachusetts) was fined $20,000 and suspended from association with any FINRA member in any capacity for 10 business days. The sanctions were […]

This information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” Timothy Joseph Golonka (CRD #1792138, Registered Representative, Collegeville, Pennsylvania) was fined $20,000 and suspended from association with any FINRA member in any capacity for 18 months. The NAC imposed the sanctions following appeal of an OHO decision. The sanctions were based […]