ATTENTION INVESTORS! FINRA Fines, Suspends Ameriprise Broker COREY MIREAU The Financial Industry Regulatory Authority (“FINRA”) announced that Ameriprise Financial Services, Inc. general securities representative Corey Lee Mireau (CRD#: 3046777, Eden Prairie, Minnesota) has been issued a $15,000.00 fine and two year suspension for borrowing money from customers; participating in a private securities transaction and outside […]

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 […]

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 Soreide Law Group, PLLC, (888) 760-6552, has obtained he following information on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013.” David Albert Urovsky (CRD #1806732, Registered Principal, Rockville, Maryland) was fined $5,000 and suspended from association with any FINRA member in any capacity for one month. FINRA took into account the sanctions […]

The Soreide Law Group, PLLC, (888) 760-6552, has obtained he following information on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013.” David Albert Urovsky (CRD #1806732, Registered Principal, Rockville, Maryland) was fined $5,000 and suspended from association with any FINRA member in any capacity for one month. FINRA took into account the sanctions […]

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.” Timothy Ruben Ward (CRD #2600718, Registered Representative, Dexter, Missouri) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Ward 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.” Frank Oswaldo Naula (CRD #1344900, Registered Representative, Merrick, New York) was barred from association with any FINRA member in any capacity. In light of Naula’s financial status, no monetary sanction […]

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, June, 2013.” Philip Pursino (CRD #3212554, Registered Representative, West Hempstead, New York) was fined $5,000 and suspended from association with any FINRA member in any capacity for two months. Without admitting or […]

This information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” Frederico Goldin (CRD #4548232, Registered Representative, Aventura, Florida) was fined $5,000 and suspended from association with any FINRA member in any capacity for one month. The fine must be paid either immediately upon Goldin’s reassociation with a FINRA member firm following […]