New Jersey Bureau Of Securities Revokes Ramon Herrera's Securities Agent, Investment Adviser Representative Registration Following FINRA Bar Soreide Law Group is investigating potential investor claims of bad business practices by securities broker Ramon Herrera [CRD#: 6021170, Jersey City, New Jersey]. Notably, New Jersey Bureau of Securities and Financial Industry Regulatory Authority (“FINRA”) imposed serious sanctions […]

FINRA Bars UBS Financial Services Broker David Fagenson Investor Alert! FINRA discloses troubling information about securities broker David Fagenson [CRD#: 1652012, Boca Raton, Florida]. Not only has FINRA barred Fagenson for failing to comply with its requests, but at least 11 clients took issue with the securities broker, who worked for Newbridge Securities Corporation between […]

Broker Gabe Block's License Revoked By NJ Securities Bureau Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) shows troubling information in regard to securities broker Gabriel “Gabe” Block (CRD#: 2103543, Red Bank, New Jersey). Not only has New Jersey Bureau of Securities issued a $750,000 fine to Block and revoked his license for allegedly engaging […]

New Jersey Bureau Of Securities Revokes Broker Maria Tamburro's Securities Agent License Soreide Law Group is looking into potential investor disputes against securities broker Maria Tamburro [CRD#: 5977689, Florham Park, New Jersey]. Mainly, New Jersey Bureau of Securities revoked her securities agent license and FINRA barred her for unauthorized trading. Tamburro, who most recently worked […]

CRAIG ZABALA Barred By FINRA The Financial Industry Regulatory Authority (“FINRA”) announced that it barred John W. Loofbourrow Associates broker Craig Zabala (CRD#: 2740680, New York, New York). Apparently, Zabala, who worked for John W. Loofbourrow Associates from February 7, 2015 to April 29, 2019 in the capacity of an investment banking representative, operations professional, […]

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 […]

FINRA Bars Lisa Acca The Financial Industry Regulatory Authority (“FINRA”) announced August 8, 2019 that it barred Arive Capital Markets securities broker, Lisa Acca (CRD#: 4661358, Bay Ridge, New York) for stonewalling a FINRA investigation. Apparently, the investigation concerned Acca’s potential private securities transactions with an Arive client. Evidently, the general securities representative, who worked […]

Jonathan A. Francis (CRD #5204602, Brooklyn, New York) was barred by FINRA for allegedly issuing unauthorized ATM cards for the accounts of bank customers, some of whom were dead, as part of a scheme to convert $210,000 in customer funds. FINRA's findings stated that during the course of FINRA’s investigation, Francis failed to respond fully […]

William Charlton Mays (CRD #2693626, Corpus Christi, Texas) was barred by FINRA and ordered to pay $10,000, plus interest, in restitution to a client for allegedly converting and misusing a client’s funds for his own benefit. FINRA's findings stated that Mays received a $50,000 check after soliciting the cleint to invest in stocks and commodities. […]