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February 4, 2015
New York Broker Barred by FINRA and Upheld by SEC and NAC

Soreide Law Group, (888) 760-6552, has obtained the following summation of information from FINRA’s website, under “Disciplinary and Other FINRA Actions, January, 2015.” John Joseph Plunkett (CRD #2321368, Brooklyn, New York) was barred by FINRA and the SEC sustained the bar imposed by the National Adjudicatory Council (NAC). These sanctions were based on findings that […]

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