Soreide Law Group is investigating possible investor claims against securities broker Theodore M. Serure (CRD: 419023, New York, New York). Evidently, FINRA sanctioned the securities broker, who worked for Jefferies LLC. Allegedly, Serure borrowed client funds in violation of FINRA rules. Here is a brief summary of FINRA’s allegations against Serure. FINRA Suspends Theodore Serure […]

The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker John Terzis (also known as John Nicholas Terzis) (CRD: 1805020, Skokie, Illinois). Not only has FINRA sanctioned Terzis for a client loan, but investors disputed the sales practices of the securities broker. However, Terzis denies the allegations. Read on to learn more about […]

The Fort Lauderdale-based Soreide Law Group, (888) 760-6552, recently obtained the summary of information from FINRA’s website, under “Disciplinary and Other FINRA Actions, October, 2014.” Daniel Timothy Cowperthwaite (CRD #1398178, Pinecrest, Florida) was assessed a deferred fine of $5,000 and suspended for three months by FINRA for allegedly received two loans improperly for approx. $4,300 […]

The following summation of information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2014.” Donald Richard Dahn (CRD #2172800, Registered Representative, Palm City, Florida) was barred from association with any FINRA member in any capacity. FINRA found that Dahn borrowed $27,100 from customers without repaying the loans. The money was represented […]

The Soreide Law Group, PLLC, (888) 760-6552, has obtained he following information on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013.” David Albert Urovsky (CRD #1806732, Registered Principal, Rockville, Maryland) was fined $5,000 and suspended from association with any FINRA member in any capacity for one month. FINRA took into account the sanctions […]

The Soreide Law Group, PLLC, (888) 760-6552, has obtained he following information on FINRA’s website under “Disciplinary and Other FINRA Actions, August, 2013.” David Albert Urovsky (CRD #1806732, Registered Principal, Rockville, Maryland) was fined $5,000 and suspended from association with any FINRA member in any capacity for one month. FINRA took into account the sanctions […]

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, July, 2013.” Ralph Anthony Saviano (CRD #1081879, Registered Principal, Bound Brook, New Jersey) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Saviano […]

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, July, 2013.” Jeffrey Elliott Ludwick (CRD #2267071, Registered Representative, San Antonio, Texas) was suspended from association with any FINRA member in any capacity for three months. In light of Ludwick’s financial status, […]

The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, March, 2013.” George Robert Hunt (CRD #2568842, Registered Principal, Sarasota, Florida) was fined $10,000, suspended from association with any FINRA member in any capacity for one year and ordered to pay $63,500, plus interest, in restitution to a customer. Without admitting or […]