FINRA suspended and fined securities broker Emily Jean Smith (also known as Emily Jean Hinton) [CRD: 6287728, Vero Beach, Florida], according to Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Emily Smith worked for Raymond James Financial Services Inc. from July 15, 2019, to July 7, 2023. Continue reading to learn more about Smith’s professional conduct […]

The Florida-based Soreide Law Group obtained this summation of information from FINRA's Website "Disciplinary and Other FINRA Actions February 2015." NEWBRIDGE SECURITIES CORPORATION (CRD #104065, Ft. Lauderdale, Florida) was censured, fined $138,000 and required to revise its WSPs for allegedly selling (buying) corporate bonds to (from) customers, and failed to sell (buy) such bonds at […]

Timothy Johnson II (CRD #4634056, Florissant, Missouri) was barred by FINRA for allegedly attempting to convert funds from his member firm for personal use and benefit by submitting false expense reports seeking reimbursement for personal, non-business related expenses. FINRA's findings stated that Johnson's firm discovered the false expense reports and refused to pay the personal […]

Alan Bruce Levin (CRD #3073530, Registered Principal, Coral Springs, Florida) was fined $10,000 and suspended from association with any FINRA member in any principal capacity for 10 business days. Without admitting or denying FINRA's findings, Levin consented to the described sanctions and to the entry of findings that, as his member firms’ FINOP, he allowed […]