The Soreide Law Group, (888) 760-6552, obtained this summation of information located on FINRA’s website under “Disciplinary and Other FINRA Actions, March, 2014.” Jack Richard Kelly (CRD #1994768, Registered Principal, Millington, Tennessee) was barred by FINRA for allegedly converting $85,000 from his clients. FINRA's findings said a client gave Jack Kelly checks totaling $40,000 that […]

Paul J. Dumouchel of Wellesley, Massachusetts, was accused of convincing an 82-year-old woman with Alzheimer’s to withdraw more than $1 million from bank CD accounts and transfer the money into other investments so that he could then collect thousands of dollars in commission payments. Dumouchel has been barred by the Financial Industry Regulatory Authority (FINRA) […]

On December 3rd., 2013, two brokers, Fernando L. Arevalo and Jimmy E. Caballero, were barred by the Financial Industry Regulatory Authority (FINRA), for taking $300,000 from an elderly widow with diminished mental capacity, and they did not cooperate with FINRA's investigation. They were employed as brokers with JPMorgan Chase Securities, LLC. JPMorgan not a party […]

On December 3rd., 2013, two brokers, Fernando L. Arevalo and Jimmy E. Caballero, were barred by the Financial Industry Regulatory Authority (FINRA), for taking $300,000 from an elderly widow with diminished mental capacity, and they did not cooperate with FINRA's investigation. They were employed as brokers with JPMorgan Chase Securities, LLC. JPMorgan not a party […]

The following summation was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, November, 2013.” Paul David Arnold (CRD #2278472, Registered Principal, Clearwater, Florida) was barred from association with any FINRA member in any capacity. Arnold did not pay restitution because the customer sought and obtained treble damages ('treble' is a term that indicates […]

The following summation was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, November, 2013.” Paul David Arnold (CRD #2278472, Registered Principal, Clearwater, Florida) was barred from association with any FINRA member in any capacity. Arnold did not pay restitution because the customer sought and obtained treble damages ('treble' is a term that indicates […]

Michael Mendenhall (CRD #496391) a former broker with Colorado Financial Service Corporation and UVest Financial Services Group, Inc., was convicted of 25 counts of securities fraud and theft involving elderly victims, and sentenced to 30 years in prison and more than $1.4 million in restitution fees in Denver District Court. The Denver District Court Judge […]

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