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, August, 2013.” Giancarlo Ciocca (CRD #4252148, Registered Representative, Coral Gables, Florida) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Ciocca consented to the […]

This information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” Timothy Joseph Golonka (CRD #1792138, Registered Representative, Collegeville, Pennsylvania) was fined $20,000 and suspended from association with any FINRA member in any capacity for 18 months. The NAC imposed the sanctions following appeal of an OHO decision. The sanctions were based […]