Soreide Law Group, based in Florida, obtained the following information from the May 2018 Disciplinary Report on FINRA’s website regarding Florida broker: David Warren Olson (CRD #1700644, Largo, Florida) Olson was barred by FINRA in all capacities for allegedly refusing to provide complete documents and information requested by FINRA during an investigation into allegations that […]

Joe Mitchell McCartney (CRD #1349989, Redmond, Washington) was suspended by FINRA for three months. McCartney allegedly borrowed $60,000 from a client and did not obtain his firm’s approval for the loans. FINRA's findings stated that the firm’s procedures required prior written approval from the firm's personnel for any lending relationships with clients. McCartney denied the […]

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 […]

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 […]

The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, February, 2013.” Richard Alan Seligson (CRD #3169733, Registered Representative, Boca Raton, Florida) was fined $10,000, suspended from association with any FINRA member in any capacity for one year and ordered to pay $41,100, plus interest, in restitution to customers. This fine and […]

Soreide Law Group, PLLC, has launched an investigation into the suspended Idaho broker, Vincenzo (Vince) Covino. Covino was employed at Legacy Wealth Management Group in Boise, and Prospera Financial Services. Covino was with LPL Financial until 2009. Vince Covino was fined and suspended by FINRA for borrowing hundreds of thousands of dollars from a client, […]