Soreide Law Group has obtained the following information from FINRA’s website under “Disciplinary and Other FINA Actions,” dated March 2019: LIJU "JOE" VARGHESE  (CRD #4197007, New Hyde Park, New York)   was barred from association with any FINRA member in all capacities by FINRA. Without admitting or denying the findings, Varghese consented to the sanction […]

The following summation information was found on FINRA’s website under “Disciplinary and Other FINRA Actions February 2015.” Call the Soreide Law Group, a Securities Arbitration Law Firm, at (888) 760-6552. David Glenn Chapman (CRD #1702066, Holmdel, New Jersey) was barred by FINRA for allegedly forging a deceased client’s signature on a document necessary to renew […]

Soreide Law Group has obtained the following summary of information from FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2015.” Malcolm McGreggor Meikle Jr. (CRD #331313, Standish, Maine) was assessed a deferred fine of $10,000 and suspended by FINRA for 20 business days for allegedly purchasing Unit Investment Trusts (UITs) for clients without prior […]

In an October 15, 2014, article from the South Florida Business Journal, Brian Bandell lists the following four FINRA actions taken recently: 1. Andrew S. Taubman of Weston, FL, formerly with NFP Securities from 2005 to 2010 and now a principal at Fort Lauderdale accounting firm Kaufman, Rossin & Co., was fined $10,000 and suspended […]

Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” Matthew Michael Van Schaik (CRD #4531203, Registered Representative, Beavercreek, Ohio) barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Van Schaik consented to […]

The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” Earl William Fay (CRD #2492793, Registered Representative, Milton, Massachusetts) was fined $7,500 and suspended from association with any FINRA member in any capacity for 30 business days. Without admitting or denying the findings, Fay consented to the described sanctions and […]