Former broker DOUGLAS W. STUDER (CRD# 4440047) Alternate Names: DOUG STUDER has been barred recently by FINRA for refusing to appear for on-the-record testimony as requested by FINRA.  Studer was allegedly involved in an investigation into whether he had violated his employing member firm's policy by being named in an elderly client's estate documents to […]

GEORGE BUSSANICH 55, of Park Ridge, New Jersey, and his son, GEORGE BUSSANICH Jr., 34, of Upper Saddle River, New Jersey, have agreed to pay $5.5 million, which includes $4 million restitution to their approximately 30 victims. The pair allegedly scammed their investors through the sale of unregistered security notes, and then used investors' money […]

Soreide Law Group, PLLC, (888) 760-6552, has obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, September, 2013.” Carlos C. Garcia (CRD #2635960, Registered Principal, Westport, Connecticut) was fined $5,000 and suspended from association with any FINRA member in any capacity for five months. Without admitting or denying the findings, Garcia […]

Soreide Law Group, PLLC, (888) 760-6552, has obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, September, 2013.” Carlos C. Garcia (CRD #2635960, Registered Principal, Westport, Connecticut) was fined $5,000 and suspended from association with any FINRA member in any capacity for five months. Without admitting or denying the findings, Garcia […]