Constance Marie Larsen (CRD #1171750, Centreville, Virginia) was assessed a deferred fine of $20,000 and suspended by FINRA for two years for allegedly borrowing $16,900 from an elderly client without notifying or receiving pre-approval from her member firm. FINRA's findings stated that Larsen knew the firm’s written procedures prohibited the loans and she took steps […]

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.” Jeffrey Elliott Ludwick (CRD #2267071, Registered Representative, San Antonio, Texas) was suspended from association with any FINRA member in any capacity for three months. In light of Ludwick’s financial status, […]

The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, February, 2013.” Donald Richard Dahn (CRD #2172800, Registered Representative, Palm City, Florida) was suspended from association with any FINRA member in any capacity for six months. Because of Dahn’s financial status, no monetary sanction was imposed. Without admitting or denying the findings, […]