JOHN A. WALDOCK JR. (CRD #2995364, Bloomington, Minnesota) was barred by FINRA for allegedly converting a client’s personal gift cards, worth least $2,200, which were given to his member firm for business purposes. FIRNA's findings stated that the client asked the firm to coordinate a mailing to potential clients with an enclosed gift card provided […]

Soreide Law Group, PLLC, a Securities Arbitration Law Firm, (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, May, 2013.” Andrew Lewis Pittman (CRD #732632, Registered Representative, Deerfield Beach, Florida) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Pittman consented […]

William Thomas Johnson Jr. (CRD #1189117, Registered Representative, North Palm Beach, Florida) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Johnson consented to the described sanction and to the entry of findings that he received approximately $47,000 from a customer after Johnson made the representation, which […]