This summation of information is available on FINRA's website under “Disciplinary and Other FINRA Actions, May, 2014.” Steven Foreman Kahn (CRD #1001362, Buffalo Grove, Illinois) was fined $10,000 and suspended by FINRA for 20 business days. Allegedly, Kahn effected transactions in a cclient’s account without first obtaining the client’s authorization. FINRA's findings stated that the […]

Soreide Law Group, (888) 760-6552, has obtained this summation of information from FINRA’s website under “Disciplinary and Other FINRA Actions, April, 2014.” William Bradford Coolidge (CRD #1636957, Registered Representative, Cordova, Tennessee) was barred by FINRA for allegedly effecting trades in elderly clients’ accounts without written authorization or his firm’s acceptance of their accounts as discretionary. […]

James Y. Lee, La Jolla, California, was charged by the SEC on February 13, 2014, for allegedly defrauding his advisory clients by charging a management fee up to 50% of the client's monthly profits and told clients that he would share 50% of their losses. When the clients lost, he did not reimburse them his […]

The Soreide Law Group, (888) 760-6552, has obtained the following summation of information from FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2014.” Ralph Joseph Mangini (CRD #1597490, Registered Representative, Yonkers, New York) was fined $10,000 and suspended from association with any FINRA member in any capacity for two months. Mangini consented to 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, July, 2013.” Scottie Brent Chitwood (CRD #4469472, Registered Representative, Estill Springs, Tennessee) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Chitwood consented to […]

The following information was obtained on FINRA’s website under “Disciplinary and Other FINRA Actions, July, 2013,” by Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552. Robert John Beihoff (CRD #2986562, Registered Representative, Brookfield, Wisconsin) was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations, Beihoff consented […]

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. Sharon Mae Perdue (CRD #2537681, Registered Principal, Longmont, Colorado) was fined $15,000 and suspended from association with any FINRA member in any capacity for two years. 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.” Annie Orion Kim (CRD #4821323, Registered Representative, Chicago, Illinois) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Kim failed to […]

The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” Darrah Lee Gleason (CRD #2442684, Registered Representative, Old Greenwich, Connecticut) was fined $5,000 and suspended from association with any FINRA member in any capacity for one month. Without admitting or denying the allegations, Gleason consented to the described sanctions and […]