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 […]

Former Bank of America Merrill Lynch broker, James R. Lanier of Tallahassee, Florida, pleaded guilty to 22 counts of fraud and related charges last November. He was sentenced to 8 years and 10 months in federal prison, and ordered to pay $887,931 in restitution. Also, the Securities and Exchange Commission (SEC) banned him from the […]

FINRA lists the following on their website under “Disciplinary and Other FINRA Actions, September, 2013.” Stephen Yarkpazuo Jensen (CRD #4400624, Registered Representative, Redford, Michigan) was barred from association with any FINRA member in any capacity. Jensen misappropriated a client’s funds without her knowledge by taking loans totaling $12,500 against her insurance policy and forging her […]

The following information was found on FINRA’s website under “Disciplinary and Other FINRA Actions, September, 2013.” Call Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Jill Meredith Carr (CRD #5353409, Registered Representative, Ellicott City, Maryland) was fined $10,000 and suspended from association with any FINRA member in any capacity for two years. Without […]

The following information was found on FINRA’s website under “Disciplinary and Other FINRA Actions, September, 2013.” Call Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Jill Meredith Carr (CRD #5353409, Registered Representative, Ellicott City, Maryland) was fined $10,000 and suspended from association with any FINRA member in any capacity for two years. Without […]

The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Roger Allan Fuller (CRD #1722316, Registered Representative, McGregor, Texas) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Fuller consented […]

The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, July, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Carlos Mark Silva (CRD #5913918, Registered Representative, Bridgeport, Connecticut) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Silva consented […]

Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, July, 2013.” Jessica Lyn Fenner (CRD #4437897, Associated Person, Washington, New Jersey) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Fenner consented to […]

The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, March, 2013.” Paul Elvidge Jr. (CRD #1852650, Registered Principal, Port St. Lucie, Florida) was barred from association with any FINRA member in any capacity and ordered to pay $620,177.90, plus interest, in restitution to customers. Without admitting or denying the findings, Elvidge […]