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 […]

The Florida-based Soreide Law Group obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions, October 2016.” Winston W. Turner (CRD #5965386, Tampa, Florida) was barred by FINRA for allegedly falsifying information relating to variable annuity transactions. FINRA’s findings stated that Turner misrepresented the source of funds in variable annuity application materials […]

Soreide Law Group, (888) 760-6552, based in Fort Lauderdale, Florida, recently obtained the following summary of information located on FINRA’s website, under “Disciplinary and Other FINRA Actions, July, 2014.” John Frederick Wolle (CRD #5479607, Riviera Beach, Florida) was barred by FINRA for allegedly falsifying and forging a client’s signature on an annuity application without the […]