Investor Dispute, FINRA Sanctions Reported On Record Of Christopher Nelson The Financial Industry Regulatory Authority (FINRA) provides important information in regard to securities broker Christopher Joseph Nelson (CRD#: 6674139, Brandon, South Dakota). Evidently, Nelson worked as a securities broker or financial advisor for Wynston Hill Capital from 2018 to 2019. Here is a brief summary […]

Soreide Law Group, based in Pompano Beach, Florida, obtained the following information on the former Boca Raton, Florida, broker from FINRA’s website. WILFRED RODRIGUEZ JR (also known as: WILFREDO RODRIGUEZ JR, WIL RODRIQUEZ) CRD#: 2504369, was barred by the Financial Industry Regulatory Authority, Inc. (FINRA) from acting as a broker or otherwise associating with a […]

Soreide Law Group, (888) 760-6552, obtained this summation of information from FINRA’s website, in “Disciplinary and Other FINRA Actions, January, 2015.” Rick Dean Bianchi (CRD #2580219, Des Moines, Iowa) was assessed a deferred fine of $5,000 and suspended by FINRA for three months for allegedly creating and providing to his firm a falsified document purporting […]

Dale Edward Para (CRD #1028917, North Oxford, Massachusetts) was barred by FINRA for allegedly intentionally providing false trading and account information to a client and the client’s father, who had power of attorney over the client’s account. FINRA's findings stated that Para misrepresented to the client and his father that he had executed hundreds of […]

In an October 15, 2014, article from the South Florida Business Journal, Brian Bandell lists the following four FINRA actions taken recently: 1. Andrew S. Taubman of Weston, FL, formerly with NFP Securities from 2005 to 2010 and now a principal at Fort Lauderdale accounting firm Kaufman, Rossin & Co., was fined $10,000 and suspended […]

The Financial Industry Regulatory Authority (FINRA) has barred Jo Ellen Fisher of Gallipolis, Ohio, a former Raymond James Financial Services Inc. financial advisor, for allegedly stealing more than $924,000 in cash and securities from a 95 year-old client's trust account. Allegedly, Fisher transferred the stolen funds into her own daughter's brokerage account. Jo Ellen Fisher […]

The Fort Lauderdale, Florida based Soreide Law Group, phone (888) 760-6552, has obtained the following summation of information from FINRA’s website, under “Disciplinary and Other FINRA Actions, May, 2014.” Matthew John Ortman (CRD #2734101, Jacksonville, Florida) was barred by FINRA. There was a FINRA investigation concerning the alleged falsification of records by Matthew Ortman and […]

The following summation is from information available on FINRA's Website under “Disciplinary and Other FINRA Actions, April, 2014.” Mark Raymond Talley (CRD #4969783, Registered Representative, Ft. Mitchell, Kentucky) was barred by FINRA for allegedly recommending to his customer that he should replace an existing variable annuity with a new variable annuity. FINRA's findings stated that […]

Gary Chackman, a former LPL Financial broker, was barred last week by the Financial Industry Regulatory Authority Inc.(FINRA) for several violations of securities industry rules, including falsifying documents, related to the sale of nontraded real estate investment trusts(nontraded REITS) from 2009 to 2012. In a December 19th InvestmentNews article, Bruce Kelly writes that nontraded REITs […]