MassMutual's Caleb Jamison Facing FINRA Suspension The Financial Industry Regulatory Authority (“FINRA”) has issued a suspension and fine to securities broker Caleb A. Jamison (CRD#: 5645954, Little Rock, Arkansas) Not only that, but MassMutual terminated the securities broker for allegedly failing to tell his securities firm about outside business activities. FINRA Suspends, Fines Caleb Jamison […]

FINRA Issues Default Decision Barring Farid Morim The Financial Industry Regulatory Authority (“FINRA”) announced on February 23, 2018 that it barred J.P. Morgan Securities broker Farid Morim (CRD#: 5023477, Beverly Hills, CA). Evidently, a FINRA Hearing Officer issued a Default Decision on January 26, 2018, finding Morim violated FINRA Rules 8210 and 2010 when he […]

BROKER MISCONDUCT: Merrill Lynch Terminates Jacob Wagner, Jessica Caden, Scott Tilley, Keith McIntosh Merrill Lynch (CRD#: 7691, New York, New York) is a SEC-regulated investment adviser and FINRA-regulated brokerage firm. Notably, with a company containing over 15,000 employees, Merrill Lynch is bound to have bad apples working for them every once in a while. Particularly, […]

INVESTOR ALERT: FINRA Fines And Suspends KMS Financial Services’ John Kasel   John Kasel (CRD#: 4382483, Scottsdale, Arizona) is a prior KMS Financial Services Inc. registered representative who FINRA just sanctioned because he engaged in outside business activities. Specifically, Kasel accepted and consented to FINRA’s imposition of a fine of $5,000 and suspension for three […]

Morgan Stanley Terminates Brokers Jill Cade, David Cote, Jesse Weissberger Morgan Stanley is both a brokerage firm registered with Financial Industry Regulatory Authority (“FINRA”) and investment adviser firm registered with Securities and Exchange Commission (“SEC”). FINRA BrokerCheck reports that the firm has been in 45 regulatory matters in which the firm allegedly violated FINRA rules […]

Soreide Law Group, based in Florida, obtained the following information on the following Florida broker from FINRA’s website under, “Disciplinary and Other FINRA Actions March 2018:”  Kevin Scott Woolf (CRD #6145312, Winter Haven, Florida) was barred by FINRA for allegedly failing to provide documents and information and to appear and provide FINRA on-the-record testimony during […]

Soreide Law Group, based in Florida, obtained the following information from FINRA’s Disciplinary Reports January 2017: Jennifer Lynn Steele (CRD #2761110, Pinellas Park, Florida) was fined $5,000 and suspended by FINRA for one month for allegedly failing to provide prior written notice to, and receive approval from, her member firm of an outside business activity […]

The Financial Industry Regulatory Authority (FINRA) has barred Aaron Parthemera, a Fort Lauderdale Wells Fargo financial advisor for allegedly engaging in a several outside businesses, and allegedly running Club Play, a hip hop club in South Beach. According to FINRA, between 2009 to 2013, Aaron Parthemer, acted as an advisor to a number of NFL […]

The Florida-based Soreide Law Group, (888) 760-6552, has obtained the following summation from FINRA's website “Disciplinary and Other FINRA Actions February, 2015.” Darrell Robert Vanpamel (CRD #5117737, Cape Coral, Florida) was fined $5,000 and suspended by FINRA for one month for allegedly failing to provide written notice to his member firm prior to engaging in […]