MICHAEL GARRIS Suspended By FINRA The Financial Industry Regulatory Authority (“FINRA”) announced July 22, 2019 that it issued Wells Fargo Clearing Services LLC (“Wells Fargo”) broker Michael Garris (CRD#: 1540384, Los Angeles, California) a one-year suspension beginning August 5, 2019, and a $5,000 fine for unauthorized trading. Notably, Garris who worked at Wells Fargo from […]

Soreide Law Group obtained the following from the July 2017 FINRA Disciplinary Report:  V CULLEN KEMPSON III (aka V CULLEN KEMPSON, Voigt C Kempson III) CRD #1280887, Sparta, New Jersey) was fined $5,000 and suspended by FINRA for 30 days for allegedly effecting unauthorized trades in a deceased client’s accounts. FINRA’s findings stated that although […]