The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Michael John Woods (CRD #1884701, Registered Principal, Dexter, Michigan) was fined $20,000 and suspended from association with any FINRA member in any capacity for two years. Without admitting […]

The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Frank John Tarazon (CRD #3272807, Registered Representative, Oxnard, California) was fined $20,000 and suspended from association with any FINRA member in any capacity for six months. Without admitting […]

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.” Cecilia Sawyer aka Cecilia Villanueva (CRD #2549482, Registered Principal, Federal Way, Washington) was barred from association with any FINRA member in any capacity. The sanction was based on findings that […]

The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” FINRA issued the following complaint. Issuance of a disciplinary complaint represents FINRA’s initiation of a formal proceeding in which findings as to the allegations in the complaint have not been made, and does not represent a decision as to any […]

In an effort to protect senior citizens from money swindles, financial regulators have released a new guide for teaching seniors how to detect financial scams and avoid being exploited in a recent article from LifeHealthPRO. Investor Protection Trust (IPT) reported the findings of a recent survey of doctors and nurses and elder financial fraud. The […]

Soreide Law Group, PLLC, a Securities Arbitration Law Firm, (888) 760-6552, obtained the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, May, 2013.” Andrew Lewis Pittman (CRD #732632, Registered Representative, Deerfield Beach, Florida) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Pittman consented […]

In a May 7th., 2013 article from FINRA's website, it was reported that according to the FBI's latest Financial Crimes Report to the Public, investment fraud has increased by 52 percent since 2008. Unfortunately, investment fraud is largely underreported, and often targeted are retired citizens and seniors. 77 million baby boomers will be retiring over […]

The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, February, 2013.” Martin Benjamin Feibish (CRD #205556, Registered Representative, Providence, Rhode Island) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Feibish consented to the described sanction and to the entry of findings that […]

Nicholas Rowe and his firm, Focus Capital Wealth Management, Inc. of Bedford, New Hampshire, were found liable in a case alleging negligence, civil fraud, and other misdeeds, involving the sale of risky ETFs (Exchange Traded Funds) to nine investors, according to a ruling by a Financial Industry Regulatory Authority (FINRA) arbitration panel. Some of these […]