The following summation of information is from FINRA's website under, "Disciplinary and Other Actions, March, 2014." Ariel Luis Hernandez (CRD #2684424, Registered Principal, Pembroke Pines, Florida) was barred by FINRA. Hernandez, according to FINRA's report, allegedly did not comply with requests for documents, information and testimony. FINRA began an investigation because of a Uniform Termination […]

The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, March, 2013.” Paul Elvidge Jr. (CRD #1852650, Registered Principal, Port St. Lucie, Florida) was barred from association with any FINRA member in any capacity and ordered to pay $620,177.90, plus interest, in restitution to customers. Without admitting or denying the findings, Elvidge […]