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September 29, 2014
Warning to Seniors: Beware of Investment Fraud!

With the growing number of our citizens reaching 60 or above, we are also seeing a growing number of victims of investment fraud in this age group. In fact, people over the age of 60 account for over thirty percent of investment fraud victims. Most seniors are living on a fixed income. These investment losses […]

November 18, 2013
Clearwater Principal Broker Barred by FINRA for Misappropriation of Funds of Elderly Widower

The following summation was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, November, 2013.” Paul David Arnold (CRD #2278472, Registered Principal, Clearwater, Florida) was barred from association with any FINRA member in any capacity. Arnold did not pay restitution because the customer sought and obtained treble damages ('treble' is a term that indicates […]

November 18, 2013
Clearwater Principal Broker Barred by FINRA for Misappropriation of Funds of Elderly Widower

The following summation was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, November, 2013.” Paul David Arnold (CRD #2278472, Registered Principal, Clearwater, Florida) was barred from association with any FINRA member in any capacity. Arnold did not pay restitution because the customer sought and obtained treble damages ('treble' is a term that indicates […]

September 18, 2013
California Financial Adviser Pleads Guilty to Theft from Elderly, Widowed Client

On Tuesday, September 17th., 2013, 47 year old, Andorean Boleancu, a financial adviser from Northern California, pleaded guilty to charges that he wrote over $1.8 million in checks from his client's accounts. This client was an elderly widow. The U.S. Attorney's office said that Andorean Boleancu now faces 30 years in prison, a $1 million […]

August 28, 2013
Washington Broker Barred by FINRA For Misappropriation of Funds Resulting in a Felony Theft Conviction

FINRA lists the following on their website under “Disciplinary and Other FINRA Actions, August, 2013.” Anthony David Brentin (CRD #5550765, Registered Principal, Longview, Washington) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Brentin consented to the described sanction and to the entry of findings that Brentin […]

August 28, 2013
Washington Broker Barred by FINRA For Misappropriation of Funds Resulting in a Felony Theft Conviction

FINRA lists the following on their website under “Disciplinary and Other FINRA Actions, August, 2013.” Anthony David Brentin (CRD #5550765, Registered Principal, Longview, Washington) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Brentin consented to the described sanction and to the entry of findings that Brentin […]

July 19, 2013
Former Financial Planner Convicted on Securities Fraud

In an article posted in the Indianapolis Star yesterday, Thomas Redmond Jr., was convicted on securities fraud charges, and sentenced to four years in prison followed by six years on work release. Redmond was placed in handcuffs and taken to the Marion County Jail. Thomas Redmond, 61, was charged in April on 10 counts of […]

July 16, 2013
Delray Beach, FL, Rep Loses Appeal on Churning Charges; Fined and Barred by FINRA

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, July, 2013.” Alan Jay Davidofsky (CRD #1389312, Registered Representative, Delray Beach, Florida) was fined $11,741.78, plus interest, which represents disgorgement, and barred from association with any FINRA member in any capacity. The […]

July 11, 2013
Family Recovers Over $983,200 + Fees Against Broker Who Stole From Accounts

McMillan v. Newbridge Securities, FINRA ID #12-01880 (Boca Raton, FL, 6/24/2013) - Two clients recover $983,200, including damages and interest, against a broker who allegedly stole funds from numerous accounts. THE FOLLOWING IS FROM FINRA'S WEBSITE: CASE SUMMARY Claimants asserted the following causes of action: breach of fiduciary duty; negligence; negligent supervision; violation of Article […]

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