A Soreide Law Group (888-760-6552) obtained the following information from FINRA’s Disciplinary Actions December 2016. Mark Tauzin (CRD #1716373, Lafayette, Louisiana) was assessed a deferred fine of $20,000, suspended by FINRA for eight months, and required to pay deferred disgorgement of ill-gotten gains in partial restitution in the total amount of $205,115.02, plus interest, to […]

The Financial Industry Regulatory Authority (FINRA) barred Matthew R. Quinn (CRD# 4478751) for alleged theft from elderly clients. FINRA reported that allegedly Quinn withdrew the funds from the accounts of elderly bank clients while he was working at Fifth Third, Cincinnati, Ohio. He also worked as a teller there. Quinn refused to cooperate with FINRA […]

Soreide Law Group obtained the following summation of information from FINRA's Website under "Disciplinary and Other Actions, December 2014." Robert Charles Mangold (CRD #1665614, Mt. Laurel NJ) was suspended by FINRA for 60 days for allegedly soliciting and receiving loans of $56,000 from two of his clients. According to FINRA, both of his member firms […]

JODIE L. MILLER (CRD# 4772684) was suspended by FINRA for 18 months and a fined $53,225, included in this figure was a disgorgement in the amount of $38,225 plus interest. This was due to Miller's alleged "selling away" securities in Tri-Med Corporation. According to the reports, in 2012 Miller allegedly participated in the private sales […]

Brian Harris Brunhaver (CRD# 2498928 Snomish, WA) has been barred by FINRA for allegedly sending and receiving business-related e-mails on his personal e-mail account, which is against his member firm’s policies. Allegedly these emails sent by Brunhaver to his client contained false statements about a real estate investment trust (REIT). These statements incorrectly assured the […]

The following summation of information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2014.” Donald Richard Dahn (CRD #2172800, Registered Representative, Palm City, Florida) was barred from association with any FINRA member in any capacity. FINRA found that Dahn borrowed $27,100 from customers without repaying the loans. The money was represented […]

The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” Robert Ronald Liggero (CRD #4623608, Registered Representative, Atlantic Beach, Florida) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended from association with any FINRA member in any capacity for 20 business days. Without […]