Florida broker Emily Palmer Vitale, with Florida Investment Advisors now known as BT Wealth Advisors, a subsidiary of The Tampa Banking Co., was fined $5000 and suspended for three months by FINRA for allegedly forging a client’s signature. In January 2014, Vitale allegedly cut and pasted a customer’s signature from another document to another. Christopher […]

The following information is from FINRA’s website under, “Disciplinary and Other FINRA Actions, May, 2012.” Sean Donald Premock (CRD #3175558, Registered Representative, Fort Lauderdale, Florida)   submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Premock […]

Lars K. Soreide, of Soreide Law Group, PLLC, filed a FINRA arbitration in February of 2012, against National Securities Corporation alleging: negligence, negligent supervision, and breach of fiduciary duty, due to among other unsuitable investments, the sale of Roundstone Healthcare Capital Partners. Recently, Roundstone Healthcare Partners, and its affiliates, have filed a RICO suit against numerous defendants in […]