Soreide Law Group is investigating possible investor claims against securities broker John Lee [CRD#: 2950037, Fort Worth, Texas]. Specifically, FINRA BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Cambridge Investment Research. Evidently, one or more clients allege sales practice violations in these disputes. Here is a brief summary […]

On August 5, 2019, KAREN PAEK CRD#: 5985441, a former PRUCO SECURITIES of El Segundo, California, was barred by FINRA from acting as a broker or otherwise associating with a broker-dealer firm following allegations that Paek created, signed and submitted six fictitious variable annuity applications to meet her minimum production requirements at Pruco Securities. FINRA’s […]

Soreide Law Group has been contacted by two former clients of Anthony Diaz (CRD #4131948), a Scotrun, Pennsylvania, financial planner who has been accused by the Financial Industry's Regulatory Authority (FINRA) of allegedly duping dozens of clients out of millions of dollars over the past few years. We are currently investigating these allegations. FINRA alleges […]

The following summation of information was found on FINRA’s website under “Disciplinary and Other FINRA Actions, May, 2014.” Call Soreide Law Group, a Securities Arbitration Law Firm at (888) 760-6552. Wan Soo Kim (CRD #5986534, Los Angeles, California) was assessed a deferred fine of $7,500 and suspended by FINRA for nine months. Allegedly, Kim signed […]

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 […]

Soreide Law Group, (888) 760-6552, obtained the following summation from FINRA’s website, listed under “Disciplinary and Other FINRA Actions, May, 2014.” Daniel Howard Glick (CRD #2175655, Chicago, Illinois) was barred by FINRA because allegedly during FINRA's investigation, FINRA had requested documents and information concerning findings by the Certified Financial Planner Board of Standards. This was […]

On January 30th., 2014, Paul Elvidge, a 53-year-old securities broker from Port St. Lucie, Florida, pleaded guilty to federal charges of embezzling more than $1 million from client accounts, wire fraud, and aggravated identity theft. Paul Elvidge operated Seacoast Investor Services, which was purchased by Cape Securities in Port St. Lucie. The $1.1 million embezzlement […]

The 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.” Ralph Joseph Mangini (CRD #1597490, Registered Representative, Yonkers, New York) was fined $10,000 and suspended from association with any FINRA member in any capacity for two months. Mangini consented to the […]

The 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.” Timothy John Coyle (CRD #2437046, Registered Representative, Palm Harbor, Florida) was recently fined $5,000 and was suspended from December 2, 2013, through June 1, 2014. Without admitting or denying the findings, […]