Soreide Law Group, based in Florida, obtained the following information from FINRA’s website, which is available to the public, dated 8-18-17:  WILLIAM H MERRIAM IV (aka: WILL MERRIAM IV, WILLIAM H MERRIAM) CRD#: 5222110 The former Merrill Lynch broker, has been barred by FINRA for allegedly failing to appear for FINRA on-the-record testimony looking into […]

Soreide Law Group (888-760-6552) obtained the following information from the Disciplinary Report January 2017, on FINRA’s website: Kevin Paul Hudak (CRD #4439153, Albuquerque, New Mexico) was barred by FINRA for allegedly submitting non-solicitation forms to his member firm that had non-authentic client signatures. FINRA’s findings stated that Hudak’s firm required these non-solicitation forms in order […]

Soreide Law Group (888-760-6552) found the following information from FINRA's Disciplinary Report, March 2016. Richard A. McGuire (CRD #4637028, Bay Shore, New York) Alternate Names: RICH ALLEN MCGUIRE, RICH MCGUIRE was barred by FINRA and ordered to pay $95,000, plus interest, in restitution to a client’s estate. The NAC  (National Adjudicatory Council a FINRA committee […]

RICHARD W. OHRN (CRD# 5106991) Boca Raton was barred by FINRA over a complaint filed against Ohrn for the theft of $15,250 from two elderly clients’ accounts. Ohrn neither admitted to or denied FINRA's findings. Allegedly Ohrn also forged the signatures of four firm clients according to FINRA and changed the addresses of these clients […]

Tricia Denise Willis (CRD #5703572, Vernon, Connecticut) Alternate Name: TRICIA DENISE LIPARELLI was barred by FINRA for allegedly converting a client’s funds and signed the client’s name on withdrawal slips without authorization. Willis solicited a personal loan from a friend, who was also a client of her bank, and requested that the client permit her […]

Florida-based Soreide Law Group, (888) 760-6552, recently obtained the following summation of information found on FINRA's website under “Disciplinary and Other FINRA Actions March 2015.” Naveen K. Bhagwani (CRD #5423037, West Palm Beach, Florida) was barred by FINRA for alleged unauthorized trades in client’s non-discretionary accounts without the knowledge, authorization, or consent of the clients […]