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 […]

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.” Tiara Monique Jones (CRD #5366042, Registered Representative, Dolton, Illinois) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Jones misappropriated funds […]

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.” Osi Trevor Isaacs aka Peter Isaacs (CRD #2724629, Registered Representative, Brooklyn, New York) was barred from association with any FINRA member in any capacity. The sanction was based on findings […]

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.” Mohamed S. Hassan aka Max Hassan (CRD #5108964, Registered Representative, Sunnyvale, California) 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, July, 2013.” Janet Louise Frakes (CRD #3120413, Registered Representative, Independence, Kentucky) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Frakes 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, July, 2013.” Jessica Lyn Fenner (CRD #4437897, Associated Person, Washington, New Jersey) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Fenner consented to […]