FINRA Suspends Broker Chris Bond, And An Investor Files A Dispute About Him FINRA BrokerCheck indicates that investors alleged sales practice violations involving securities broker Christopher Edward Bond “Chris Bond” (CRD#: 4658534, Melville, New York) and that those violations resulted in damages. Particularly, Bond, who has been with National Securities Corporation since 2004 and National […]

FINRA, Investors Allege Misconduct By American Wealth Management Securities Broker Jason Seale The Financial Industry Regulatory Authority (FINRA) reportedly issued securities broker Jason Lee Seale III (CRD#: 1874548, Novato, California) a suspension and fine for allegedly making discretionary trades in four client accounts at American Wealth Management Inc. In addition, five investors filed disputes about […]

Soreide Law Group, based in South Florida, obtained the following information on FINRA’s website from January 2020 Disciplinary Report. MURRY MEIR SHAPERO (Also known as:  MOSHE SHAPERO, MURRAY M SHAPERO) CRD#: 1846138 Miami, Florida, currently registered with MAXIM GROUP, LLC. was issued an AWC in which MURRAY M SHAPERO was suspended from association with any […]

Soreide Law Group obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions February 2018.” Gary Raymond Gray (CRD #1641113, Las Vegas, Nevada) was assessed a deferred fine of $10,000 and suspended from association with any FINRA member in all capacities for three months.  Allegedly, Gray exercised discretion in effecting 236 trades […]