Soreide Law Group obtained the following complaint information from FINRA’s website under the February 2017 Disciplinary Report: (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 allegations […]

James Orlow Maloney (CRD #1056257, South Colorado Springs, Colorado) was assessed a deferred fine of $10,000 and suspended by FINRA for 10 months for allegedly selling equity-indexed annuities (EIAs) outside the scope of his employment with his member firm and without providing the firm any notice of the business activity. FINRA's findings stated that Jim […]

Ricky Eugene Bell (CRD #2065556, Fayetteville, North Carolina) was barred by FINRA and ordered to pay a total of $19,650, plus interest, in restitution to clients. Allegedly, Bell engaged in private securities transactions through a lending program without providing notice to, or receiving approval from, his member firm. FINRA's findings stated that Bell solicited and […]

Soreide Law Group, (888) 760-6552, recently obtained the following summation of information from FINRA’s website, listed in “Disciplinary and Other FINRA Actions, May, 2014.” Timothy Damien Moran (CRD #2326078, Paradise Valley, Arizona) was barred by FINRA and ordered to disgorge $200,000 of ill-gotten gains. According to the FINRA report, Timothy Moran allegedly engaged in private […]

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. Jeffrey Ng (CRD #1234807, Registered Principal, Stamford, Connecticut) was fined $25,000 and suspended from association with any FINRA member in any capacity for two years. The NAC imposed […]

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 […]

The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” Steven Robert Aron (CRD #4664318, Registered Representative, Agoura Hills, California) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Aron consented to the described sanction and to the entry of findings that […]

The Soreide Law Group, PLLC, a Securities Arbitration Law Firm, (888) 760-6552, found the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, April, 2013.” Arthur Apostol (CRD #2265647, Registered Representative, Ashford, Connecticut) was fined $5,000 and suspended from association with any FINRA member in any capacity for three months. Without admitting or […]

Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552, found the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, March, 2013.” Joseph Kenneth Critelli (CRD #2707711, Registered Representative, Northport, New York) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Critelli consented to […]