Soreide Law Group obtained the following complaint on FINRA’s website under, “Disciplinary and Other FINRA Actions, January 2017.” (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 of the […]

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, August, 2013.” Anthony Mediate III (CRD #2449614, Registered Representative, Red Bank, New Jersey) was suspended from association with any FINRA member in any capacity for 60 days. Because of Anthony Mediate’s financial […]

A Financial Industry Regulatory Authority (FINRA) arbitration panel ordered a former employee of Merrill Lynch, Deutsche Bank, and Oppenheimer & Co. to pay nearly $11 million to an investor who alleged his broker, Karl Hahn, misrepresented securities and made excessive trades. The investor’s case against the former broker Karl Hahn, stems from transactions involving covered […]