On March 7, 2018, MARK KAPLAN CRD#: 1978048 was barred by the Financial Industry Regulatory Authority Inc. (FINRA) from acting as a broker or otherwise associating with a broker-dealer firm for allegedly churning the account of a 93-year-old retired clothing salesman who suffered from dementia. According to FINRA, Kaplan created $723,000 in trading losses in […]

Soreide Law Group obtained the following information from FINRA’s Disciplinary Report January 2018:  Timothy Thomas Gibbons (CRD #219872, New Orleans, Louisiana) was issued a deferred fine of $20,000, suspended from association with any FINRA member in all capacities for 18 months, and ordered to pay deferred partial restitution of $716,749.78, plus interest, to clients for […]