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.” Turker Ergun (CRD #4347758, Registered Representative, Irvine, California) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Ergun consented to the described […]

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.” Alan Jay Davidofsky (CRD #1389312, Registered Representative, Delray Beach, Florida) was fined $11,741.78, plus interest, which represents disgorgement, and barred from association with any FINRA member in any capacity. 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.” Huel Cox Jr. (CRD #1638341, Registered Principal, Phoenix, Arizona) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Cox 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.” Scottie Brent Chitwood (CRD #4469472, Registered Representative, Estill Springs, Tennessee) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Chitwood consented to […]

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. Glen W. Carnes (CRD #5486261, Registered Representative, Orange, California) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Carnes consented […]

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. Robert John Beihoff (CRD #2986562, Registered Representative, Brookfield, Wisconsin) was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations, Beihoff consented […]

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. Conrad Tambalo Bautista (CRD #1582353, Registered Representative, McKinney, Texas) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Bautista consented […]

The U.S. Securities and Exchange Commission (SEC), recently upheld a penalty which banned from the securities industry for life, Carl Birkelbach, now 72, the founder of now-defunct Chicago firm, Birkelbach Investment Securities Inc., for failing to supervise a broker who generated more than $1 million in commissions during 3-1/2 years in the early 2000s while […]

McMillan v. Newbridge Securities, FINRA ID #12-01880 (Boca Raton, FL, 6/24/2013) - Two clients recover $983,200, including damages and interest, against a broker who allegedly stole funds from numerous accounts. THE FOLLOWING IS FROM FINRA'S WEBSITE: CASE SUMMARY Claimants asserted the following causes of action: breach of fiduciary duty; negligence; negligent supervision; violation of Article […]