Soreide Law Group is currently investigating former registered representative ANNA KHAI (CRD# 4823670) Alternate Name: ANNA KHATCHATRIAN, formerly of Morgan Stanley Smith Barney, LLC, of Pasadena, CA. FINRA has permanently barred this individual from acting as a broker or otherwise associating with firms that sell securities to the public. A Financial Industry Regulatory Authority (FINRA) arbitration […]

Raymond Sardina (CRD #3068885, Miami, Florida) was suspended by FINRA for one month for allegedly borrowing $10,000 from a client. His member firm’s policies and procedures prohibit borrowing money from clients. Sardina repaid the loan while the individual was still a client of the firm. FINRA's findings stated that Sardina neither notified the firm that […]

Stuart Anthony Cahill (CRD #2556996, Dallas, Pennsylvania) was assessed a deferred fine of $10,000 and suspended by FINRA member in any capacity for one year for allegedly borrowing a total of $65,000 from two clients of his firm, contrary to the firm’s WSPs prohibiting borrowing money from customers. FINRA's findings stated that Cahill failed to […]

Ricky Eugene Bell (CRD #2065556, Fayetteville, North Carolina) was barred by FINRA and ordered to pay a total of $19,650, plus interest, in restitution to clients. Allegedly, Bell engaged in private securities transactions through a lending program without providing notice to, or receiving approval from, his member firm. FINRA's findings stated that Bell solicited and […]

The Fort Lauderdale-based Soreide Law Group, (888) 760-6552, recently obtained the summary of information from FINRA’s website, under “Disciplinary and Other FINRA Actions, October, 2014.” Daniel Timothy Cowperthwaite (CRD #1398178, Pinecrest, Florida) was assessed a deferred fine of $5,000 and suspended for three months by FINRA for allegedly received two loans improperly for approx. $4,300 […]

The following information is located on FINRA’s website under “Disciplinary and Other FINRA Actions, February, 2014.” Violeta Maria Godoy Zuniga (CRD #5792585, Registered Representative, Doral, Florida) was barred by FINRA for alleged misappropriation of $7,000 from a bank customer for her own personal use. Godoy Zuniga assisted a customer in opening a savings account. The […]

The following summation of information was found on FINRA's website under "Disciplinary and Other FINRA Actions, February, 2014." Robert Lee Bateman (CRD #1459540, Registered Representative, Ogden, Utah) was fined $25,000 and suspended by FINRA for 18 months. Robert Bateman consented to the sanctions and findings that he accepted gifts from clients totaling $151,000 and borrowed […]

The following summation of information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2014.” Donald Richard Dahn (CRD #2172800, Registered Representative, Palm City, Florida) was barred from association with any FINRA member in any capacity. FINRA found that Dahn borrowed $27,100 from customers without repaying the loans. The money was represented […]

A former Fort Lauderdale Ameriprise investment advisor, Shawn Sapp, was fined $25,000 by the Florida Office of Financial Regulation on Nov. 19, 2013, for taking loans from clients and not disclosing his criminal past. Sapp is banned from registering as a financial professional in the state of Florida for three years. Sapp was employed by […]