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July 16, 2013
California Broker Fined and Suspended by FINRA

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.” John Sean Kennedy (CRD #2660518, Registered Representative, Encino, California) was fined $15,000 and suspended from association with any FINRA member in any capacity for eight months. Without admitting or denying […]

April 16, 2013
Punta Gorda, Florida, Rep Barred by FINRA

Soreide Law Group, PLLC, a Securities Arbitration Law Firm, phone (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, April, 2013.” William Howard Buckley (CRD #3074452, Registered Representative, Punta Gorda, Florida) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Buckley […]

February 18, 2013
Boca Raton Broker Fined, Suspended and Ordered to Pay Restitution to Clients by FINRA

The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, February, 2013.” Richard Alan Seligson (CRD #3169733, Registered Representative, Boca Raton, Florida) was fined $10,000, suspended from association with any FINRA member in any capacity for one year and ordered to pay $41,100, plus interest, in restitution to customers. This fine and […]

November 16, 2012
FINRA Enforcing Annuity Sales Rules

The Financial Industry Regulatory Authority, also known as FINRA, has been enforcing all types of annuity transaction misdeeds nationwide according to recent enforcement reports from the agency, writes Elizabeth Festa in a recent article for LifeHealthPro.com. FINRA recently censured a firm and fined it $40,000 to settle allegations that the firm failed to maintain required […]

August 20, 2012
Deerfield Beach, FL, Rep Fined and Suspended by FINRA

Christopher Andrew Carra (CRD #2214509, Registered Representative, Deerfield Beach,Florida) was fined $20,000 and suspended from association with any FINRA member in any capacity for one year. Without admitting or denying FINRA's findings, Carra consented to the described sanctions and to the entry of findings that he attempted to procure investment banking and consulting business from […]

June 18, 2012
Port Richey, Florida, Rep Fined and Suspended by FINRA for Borrowing Money from Customer

Alison Marie Janke (CRD #4409155, Registered Representative, Port Richey, Florida) was fined $7,500 and suspended from association with any FINRA member in any capacity for six months. Without admitting or denying the findings, Janke consented to the described sanctions. According to FINRA's findings, she borrowed $100,000 from a customer which was based upon a personal […]

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