Michael Willard Korson (CRD #2108802, Novi, Michigan) was barred by FINRA for allegedly failing to timely and accurately notify his member firm of his outside business activities. Although Korson eventually provided notice to his firm and revealed that he received compensation from the outside business, he falsely stated when his involvement first began. FINRA's findings […]

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 Ft. Lauderdale, Florida-based Soreide Law Group, obtained the following summation of information from FINRA's Website under "Disciplinary and Other Actions, December 2014." Derek Brice Radzikowski (CRD #2707808, Highland Beach, Florida) was assessed a deferred fine of $18,000 and suspended by FINRA for two years for allegedly engaging in outside business activities where he conducted […]

Alan Stuart Pattee (CRD #3002976, Registered Representative, Lake Worth, Florida)   has submitted a Letter of Acceptance, Waiver and Consent in which was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Pattee consented to the described sanction and to the entry of findings that he forged homeowner […]