FINRA Complaint Alleges Wells Fargo’s DAVID MANOR Made Unsuitable Trades On April 16, 2019, FINRA brought Complaint #2017056648801 against Wells Fargo broker David Manor (CRD#: 6033220, Boston, Massachusetts), alleging Manor broke FINRA rules by engaging in outside business activities. FINRA Department of Enforcement claims Manor was involved in an undisclosed outside business activity and engaged […]

The Financial Industry Regulatory Authority Inc. (FINRA) has barred DANIEL TODD LEVINE CRD#: 2874319 from acting as a broker or otherwise associating with a broker-dealer firm on January 8, 2019. According to FINRA’s BrokerCheck, without admitting or denying the findings, DANIEL TODD LEVINE consented to the sanction and to the entry of findings that he […]

The Florida-based Soreide Law Group (888-760-6552) obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions, July 2016.” Talman Anthony Harris (CRD #3209947, Garden City, New York) was barred by FINRA for allegedly fraudulently omitting material facts when soliciting purchases of securities and engaged in outside business activities without providing his member […]

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 […]

Douglas Jay Melzer (aka DUTCH MELZER) (CRD #5438362, Mars, Pennsylvania) was barred by FINRA for allegedly soliciting his member firm’s clients to invest $2,000,000 in an outside investment, which the firm had not approved, without providing his firm prior written notice or receiving prior written approval. FINRA's findings stated that Melzer misappropriated funds from his […]

Talman Anthony Harris (CRD #3209947, Garden City, New York) and William John Scholander (CRD #2938044, Brooklyn, New York) were barred by FINRA for allegedly fraudulently omitting material facts when soliciting purchases of securities and engaging in outside business activities without providing their member firm with written notice. FINRA's findings stated that Harris and Scholander, in […]

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 […]

Florida-based Soreide Law Group has obtained the following summation of information from FINRA's Website under "Disciplinary and Other FINRA Actions February 2015." Dawson James Securities, Inc. (CRD #130645, Boca Raton, Florida) was censured and fined $30,000 for allegedly failing to establish and implement an adequate system to determine whether a former registrant’s disclosed outside business […]

Marc William Evans (CRD #859585, Tulsa, Oklahoma) was fined $10,000, suspended by FINRA for 13 months and ordered to pay $56,572, plus interest, in disgorgement of commission. The sanctions take into account the suspension and fine the Oklahoma Department of Securities imposed against Marc Evans. Allegedly Evans participated in private securities transactions for selling compensation […]