Kevin Luby (CRD #4568246, Port Orange, Florida) was assessed a deferred fine of $25,000 and suspended by FINRA for 10 months for allegedly failing to disclose to his member firms that he was engaged in outside business activities on an elderly firm client’s behalf. FINRA's findings stated that the client had named Luby as a […]

The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Michael John Woods (CRD #1884701, Registered Principal, Dexter, Michigan) was fined $20,000 and suspended from association with any FINRA member in any capacity for two years. Without admitting […]