The following summation information was found on FINRA’s website under “Disciplinary and Other FINRA Actions February 2015.” Call the Soreide Law Group, a Securities Arbitration Law Firm, at (888) 760-6552. David Glenn Chapman (CRD #1702066, Holmdel, New Jersey) was barred by FINRA for allegedly forging a deceased client’s signature on a document necessary to renew […]

The following summation of information was found on FINRA's website under "Disciplinary and Other FINRA Actions, January, 2014." Thomas Paul O’Connor (CRD #5699014, Registered Representative, Boston, Massachusetts) was fined $10,000 and suspended by FINRA for 12 months. Allegedly O’Connor forged his client's signature on documents relating to buying insurance policies, a fixed life policy and […]

The following summation was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, December, 2013.” Michael J. Davey (CRD #4905761, Registered Principal, Nashua, New Hampshire) fined $5,000 and suspended from association with any FINRA member in any capacity for three months. Without admitting or denying the findings, Davey consented to the described sanctions and […]