ANTHONY VINCENT FERRONE CRD#: 1192506 Without admitting or denying the findings, on July 25, 2017, Ferrone consented to the sanction and to the entry of findings that he allegedly appeared for on-the-record testimony but refused to provide complete testimony and departed the testimony before its completion during the course of FINRA's investigation into his potential […]

The Financial Industry Regulatory Authority Inc. (FINRA) has barred ANTHONY JOSEPH VERZI (TONY VERZI) CRD#: 1186572  from acting as a broker or otherwise associating with firms that sell securities to the public. Tony Verzi was a former Morgan Stanley broker who was barred after he allegedly refused to testify at a hearing into alleged trading […]

Fort Lauderdale-based Soreide Law Group, (888) 760-6552, obtained the following summary of information from FINRA’s website, under “Disciplinary and Other FINRA Actions, September, 2014.” Edward James Wendol (CRD #2392007, Spring Hill, Florida) was barred by FINRA for alleged failure to comply with FINRA’s request for documents and information, and failure to appear and provide testimony. […]

Soreide Law Group, (888) 760-6552, has obtained the following summation of information from FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2014.” Jinesh Pravin Brahmbhatt (CRD #2491299, Registered Representative, Potomac, Maryland) was barred from association with any FINRA member in any capacity. Brahmbhatt failed to appear and testify at a disciplinary proceeding regarding a […]