FINRA Issues Sanctions To Financial West Group's Sara Ng The Financial Industry Regulatory Authority (“FINRA”) reports troubling allegations of sales practice violations by Financial West Group securities broker Sara Ng (CRD#: 2701165, New York, New York). Not only has FINRA issued Ng a $5,000 fine and a suspension in December 2018 for making misleading and […]

Susan M. Diamond, Lake Worth, FL was fined $10,000 by the Financial Industry Regulatory Authority (FINRA) and received a four month suspension. Felix Investment, the New Jersey based firm she worked with, was additionally fined $300,000 and Frank G. Mazzola who is part owner of Felix, was barred from the industry by FINRA. According to […]

The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Sharon Mae Perdue (CRD #2537681, Registered Principal, Longmont, Colorado) was fined $15,000 and suspended from association with any FINRA member in any capacity for two years. Without admitting […]