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.” Manry Sumaqui Valenzona (CRD #3195544, Registered Representative, Chicago, Illinois) was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations, Valenzona 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, June, 2013.” Thomas Gerald Recck (CRD #2703877, Registered Representative, Wethersfield, Connecticut) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Recck 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, 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 […]

Dale David Twardowski (CRD #4056379, Registered Principal, Palm Harbor, Florida) submitted an Offer of Settlement in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations, Twardowski consented to the described sanction and to the entry of findings that he failed to respond to FINRA requests […]