Ricky Eugene Bell (CRD #2065556, Fayetteville, North Carolina) was barred by FINRA and ordered to pay a total of $19,650, plus interest, in restitution to clients. Allegedly, Bell engaged in private securities transactions through a lending program without providing notice to, or receiving approval from, his member firm. FINRA's findings stated that Bell solicited and […]

Soreide Law Group, (888) 760-6552, recently obtained the following summation of information from FINRA’s website, listed in “Disciplinary and Other FINRA Actions, May, 2014.” Timothy Damien Moran (CRD #2326078, Paradise Valley, Arizona) was barred by FINRA and ordered to disgorge $200,000 of ill-gotten gains. According to the FINRA report, Timothy Moran allegedly engaged in private […]

Soreide Law Group, (888) 760-6552, obtained the following summation of information from FINRA’s website, under “Disciplinary and Other FINRA Actions, May, 2014.” Darinn Dwight Kim (CRD #4029402, Rolling Meadows, Illinois) was barred by FINRA for allegedly transferring a client's funds, selling the client’s securities, and ordering a $190,000 check drawn on the client’s securities account […]

The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2013.” Kenneth Andrew Mauchin (CRD #2366345, Registered Principal, Sanford, Florida) was named a respondent in a FINRA complaint alleging that he misappropriated $23,750 from elderly customers’ accounts by converting their funds to cashier’s checks and depositing those checks into a bank […]