The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” Steven Robert Aron (CRD #4664318, Registered Representative, Agoura Hills, California) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Aron consented to the described sanction and to the entry of findings that […]

The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” Joseph John Antosh Jr. (CRD #713649, Registered Representative, Brookfield, Connecticut) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Joseph Antosh consented to the described sanction and to the entry of findings […]

The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” David Darrell Anthony (CRD #4671195, Registered Representative, Mobile, Alabama) was fined $7,500 and suspended from association with any FINRA member in any capacity for six months. Without admitting or denying the allegations, Anthony consented to the described sanctions and to […]

Soreide Law Group is currently investigating claims on behalf of clients who were sold the Reef Lake Arthur Deep Joint Venture Fund by their brokers. This proprietary oil and gas drilling fund was sold by Reef Securities brokers. Investors have suffered a near total loss with this fund. If you invested in the Reef Lake […]

The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” FINRA issued the following complaint. Issuance of a disciplinary complaint represents FINRA’s initiation of a formal proceeding in which findings as to the allegations in the complaint have not been made, and does not represent a decision as to any […]

This information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” Michael Antonio Zurita (CRD #1659844, Registered Principal, Orlando, Florida) was suspended from association with any FINRA member in any principal capacity for six months. In light of Zurita’s financial status, no monetary sanction was imposed. Without admitting or denying the […]

The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” Jonathan Gordon Sorensen (CRD #5031354, Registered Representative, Maitland, Florida) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Sorensen consented to the described sanction and to the entry of findings that he […]

The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” Michael Corbett Milne (CRD #1842992, Registered Principal, Ocala, Florida) was fined $5,000 and suspended from association with any FINRA member in any capacity for 15 business days. Without admitting or denying the findings, Milne consented to the described sanctions and […]

The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” Robert Ronald Liggero (CRD #4623608, Registered Representative, Atlantic Beach, Florida) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended from association with any FINRA member in any capacity for 20 business days. Without […]