Sean Anthony Spearman (CRD #2945116, Redondo Beach, California) was barred by FINRA member and ordered to disgorge unlawful profits of $66,771 for allegedly liquidating a position held by a client of his member firm to meet margin requirements; but instead of selling the shares to the market and maximizing the return to his client, Spearman […]

Michael Christopher Evangelista (CRD #2361644, West Chester, Pennsylvania) was barred by FINRA for failing to disclose to his member firms that firm clients were purchasing securities away from the firms or that he was being compensated in connection with his referrals. FINRA's findings stated that Evangelista referred approximately six customers to a third party, and […]

The Ft. Lauderdale, Florida-based Soreide Law Group, obtained the following summation of information from FINRA's Website under "Disciplinary and Other Actions, December 2014." Derek Brice Radzikowski (CRD #2707808, Highland Beach, Florida) was assessed a deferred fine of $18,000 and suspended by FINRA for two years for allegedly engaging in outside business activities where he conducted […]

Soreide Law Group, (888) 760-6552, recently obtained the following summation of information from FINRA’s website, listed in “Disciplinary and Other FINRA Actions, May, 2014.” Timothy Damien Moran (CRD #2326078, Paradise Valley, Arizona) was barred by FINRA and ordered to disgorge $200,000 of ill-gotten gains. According to the FINRA report, Timothy Moran allegedly engaged in private […]